Tag: issuer

by Hannah Melotto

Private Equity VS. Venture Capital

For companies looking to raise capital, there are many options on the table. From raising capital from friends and family and crowdfunding to private equity…

by Hannah Melotto

10 RegA+ Issuers Penalized for SEC Violation: What Can We Learn?

We’ve discussed compliance at length and how it’s essential for building trust within the private capital markets. But what happens when you’re not compliant? The…

by Hannah Melotto

April Investment Crowdfunding Sees Near-Record Levels

The last couple of months have been a turbulent time for the financial sector. In March, we first saw the collapse of Silicon Valley Bank,…

by Hannah Melotto

What is a Board of Directors?

Recently, we received a question from an issuer, asking to explain what a board of directors is. We believe that education is an essential part…

by Sara Hanks

Form C-AR filing time again!

Hi everyone; a reminder that we are just over a month away from the deadline to file Form C-AR by May 1.* We wanted to…

by Hannah Melotto

Misconceptions About Regulation S

Continuing our last post on Regulation S, then are still a few things that should be known to issuers looking to explore this method of…

by Oscar Jofre

SEC Charges Eight in Scheme to Fraudulently Promote Securities Offerings

On September 30, 2022, the SEC announced charges against 8 CEOs and CFOs for fraudulently promoting Regulation A+ securities offerings.  The companies named by the…

by Hannah Melotto

How to Manage Investment Information

For entrepreneurs, it’s crucial to understand the private capital market well. Companies no longer need to go public to raise capital, enabling entrepreneurs to maintain…

by Hannah Melotto

What is KYC?

Each year, an estimated $2 trillion from illicit activities is laundered. This poses a significant challenge to financial institutions, requiring onerous efforts to verify that…

by Peter Daneyko

Quarterbacks: Their Role and Why They’re Essential for Your RegA+ Raise

In the world of Reg A+, quarterbacks are essential to a successful offering. They play a critical role in the overall success of an offering,…

by Hannah Melotto

How Does a Transfer Agent Protect Issuers and Investors?

A transfer agent is responsible for the custody of securities and preserves books and records. They also keep up with who owns what investment, which…

by Hannah Melotto

Why do I need a FINRA Broker-Dealer?

Broker-dealers are an essential part of the fundraising process. These entities can be small, independent firms or part of a large investment bank. However, regardless…

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