Tag: Regulation A

by Oscar Jofre

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 Oscar Jofre

What is an Escrow Provider’s Role in RegA+?

An escrow provider is a neutral party that handles financial transactions between two or more parties. They are often used in the securities industry to…

by Oscar Jofre

Who Does Due Diligence on Companies using RegA+?

Due diligence is an essential part of the investment process. Especially following the passage of the JOBS Act in 2012, which expanded Regulation A+ (RegA+),…

by Oscar Jofre

What You Need to Know About RegA+

If you are an entrepreneur looking to raise funds, you may have heard of Regulation A+, often referred to simply as Reg A+. This alternative…

by Oscar Jofre

Call Centers for RegA+

A call center can be extremely helpful for companies looking to raise capital through a Reg A+ offering. By having a dedicated call center, businesses…

by Sara Hanks

If you aren’t current in your Reg A reporting, you could still be violating securities laws even if qualified by the SEC

It’s 1-SA filing season again for Regulation A filers, and time to make some observations about the consequences of not filing. We have encountered more…

by Oscar Jofre

Labor Day: Democratization and Opportunities to Create Jobs

The growth in Regulation A+ and Regulation CF offerings fuels entrepreneurship and job growth in the United States. Since 2016, there have been over 4,600…

by Mark Roderick

The SEC Can Stop Your Regulation A Offering At Any Time

The SEC has two powerful tools to stop your Regulation A offering anytime. Rule 258 Rule 258 allows the SEC to immediately suspend an offering…

by Oscar Jofre

Opportunities to Invest in the Private Capital Market

The private equity market is rapidly growing, fueled by expansions to the JOBS Act exemptions in 2021. By 2030, the private capital market is anticipated…

by Oscar Jofre

RegA+ Offers Stability for Issuers

When a company decides to go the RegA+ route, they are opting for a more stable and regulated way to raise capital. This is due…

by Oscar Jofre

Why RegA+ Offerings Fail

When it comes to RegA+ offerings, there are several reasons they may fail: a failure to comply with regulatory requirements, a failure to budget for…

by Jason Futko

What is the Estimated Budget for RegA+ Issuance?

Navigating the fundraising process and understanding how much to budget from a financial standpoint is one of the most frequent questions we receive. In the…

by Oscar Jofre

Private Equity’s Primetime Has Arrived

Private equity’s primetime has arrived! This stems from a number of reasons, including favorable economic conditions for the private capital market. In fact, 42% of…

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 Peter Daneyko

Credit Cards, Escrow, and Broker-Dealers for RegA+ = $75 Million for Cannabis Companies

  “It’s About Time”   Up until now, it was a real challenge for Cannabis companies to take advantage of Reg A+ exemptions that allow…

by Oscar Jofre

KorePartner Spotlight: Nate Dodson, Managing Member at Crowdfunding Lawyers

Nate Dodson has over 15 years of experience helping clients with securities, financing, real estate, asset protection, and mergers and acquisitions. Not only has he…

by Oscar Jofre

KoreClient Spotlight: Brent Fawson, COO of Facible

Working at Facible, Brent Fawson believes that the company is poised to leave a lasting impact on lives around the world by making medical diagnostic…

by Matt Foley

Attracting Impact Investors

Founders and executives of startup and early-stage healthcare companies seeking funding historically were limited to appeals to Venture Capital firms, Angels, and bootstrapping – struggling to…

by Oscar Jofre

KorePartner Spotlight: Scott Pantel, President & CEO of Life Science Intelligence

With the launch of the KoreConX all-in-one platform, KoreConX is happy to feature the partners contributing to its ecosystem.    During the capital raising journey,…

by Oscar Jofre

The Recipe for a Successful RegA+ Offering

If your company is looking to raise funding, you’ve probably considered many options for doing so. Since the SEC introduced the outlines for Regulation A+…

by Oscar Jofre

What is Regulation A+?

Regulation A+ (RegA+) was passed into law by the SEC in the JOBS Act, making it possible for companies to raise funding from the general…

by StartEngine

Investing in Startups 101

This article was originally written by our KorePartners at StartEngine. You can view the post here.  The high-speed world of startups, and the risks of…

by Oscar Jofre

The Evolution of Reg A+

During the recent Dare to Dream KoreSummit, David Weild IV, the Father of the JOBS Act, spoke about companies going from public to private, access…

by Oscar Jofre

Has RegA+ Killed the IPO?

Has RegA+ Killed the IPO?   Regulation A+ gives issuers the ability to raise $75 million in crowdfunding while remaining private. With RegA+ benefiting both…

by Oscar Jofre

What is the Difference Between the Public and Private Capital Markets?

  The public and private capital markets work differently, but both sectors play essential roles in supporting economic growth. Companies raise funds for long-term growth…

by Oscar Jofre

Tokenization in RegA+

As the private capital market continues to undergo a digital transformation, ideas like blockchain, digital securities, and tokenization continue to be discussed by regulators, issuers,…

by Oscar Jofre

KorePartner Spotlight: Bill Humphrey, CEO and Co-Founder of New Direction Trust Company

With the recent launch of the KoreConX all-in-one platform, KoreConX is happy to feature the partners contributing to its ecosystem.    Bill Humphrey has over…

by Oscar Jofre

Join the new American Revolution – financial markets equality for all

This post originally appeared on the Rialto Markets blog and was written by Lee E. Saba, Head of Market Structure at Rialto Markets.   Very…

by Oscar Jofre

As a Canadian Company, can Canadians Invest in Your RegA+?

We have extensively discussed how Americans can invest in securities offered under Regulation A+. However, Canadian companies can also use the exemption to raise capital…

by Oscar Jofre

Why do I need Blue Sky registration for Secondary Trading?

Through the Regulation A+ exemption, securities issuers can raise up to $75 million as of March 2021. This creates a significant opportunity for the everyday…

by Oscar Jofre

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…

by Oscar Jofre

How Does RegA+ Impact the Life Sciences Industry?

Since dramatic improvements to Regulation A that went into effect in 2015, the exemption has become a tremendous tool allowing private companies to raise significant…

by Oscar Jofre

How the Unaccredited Investor Benefits from RegA+

The passage of the JOBS Act in 2012 set in motion a significant change for the private capital markets. For so long, investments in private…

by Oscar Jofre

The Role of Investor Acquisition in Capital Raising Activities

The goal of any capital raising activity is to secure capital for the growth and development of the business. Without needed capital, it can often…

by Oscar Jofre

KorePartner Spotlight: Dean DeLisle, Founder and CEO of Forward Progress

With the recent launch of the KoreConX all-in-one platform, KoreConX is happy to feature the partners contributing to its ecosystem. Dean DeLisle has been raising…

by Oscar Jofre

What is the Difference Between Fiduciary Responsibility and Regulatory Requirement?

By definition, a fiduciary is a person or an organization who holds a legal or ethical relationship of trust with another person or organization. Typically,…

by Oscar Jofre

What is KYC?

In 2007, the SEC approved the founding of the non-profit Financial Industry Regulatory Authority (FINRA). FINRA was created in the wake of a failing economy…

by Oscar Jofre

Warrants for RegA+

For private companies looking to raise capital through exemptions such as Regulation A+, Regulation CF, or Regulation D, there are many forms of securities that…

by Oscar Jofre

KorePartner Spotlight: Douglas Ruark, Founder and President of Regulation D Resources

With the recent launch of the KoreConX all-in-one RegA+ platform, KoreConX is happy to feature the partners that contribute to its ecosystem.   Douglas Ruark,…

by Oscar Jofre

Meet the KorePartners: Louis Bevilacqua of Bevilacqua PLLC

With the recent launch of the KoreConX all-in-one RegA+ platform, KoreConX is happy to feature the partners that contribute to the ecosystem.    For the…

by Oscar Jofre

Shareholder Rights and Why They’re Important to Know

The first thought that comes to mind when someone says “shareholder,” is Wall Street, understandably, as Wall Street is home to the New York Stock…

by Oscar Jofre

What is Portfolio Management?

Portfolio management, at its most basic level, is the way that an investment portfolio is designed to align with the wants and needs of the…

by Oscar Jofre

What is Due Diligence?

When it comes to investments of any kind, due diligence is essential for both issuers and investors alike. Do so what exactly is due diligence?…

by Oscar Jofre

Can IRAs Be Used for Private Companies Investments?

Individual retirement accounts (commonly shortened to IRAs) allow flexibility and diversity when making investments. Whether investing in stocks, bonds, real estate, private companies, or other…

by Lahdan Rahmati

Regulation A+ Is Even Better After Passage Of The Economic Growth Act

On May 24, 2018, President Trump signed the Economic Growth, Regulatory Relief and Consumer Protection Act (the Act) into law. The Act was introduced by…

by Oscar Jofre

KorePartner Spotlight: Sara Hanks, CEO of CrowdCheck

With the recent launch of the KoreConX all-in-one RegA+ platform, KoreConX is happy to feature the partners that contribute to its ecosystem.   With over…

by Oscar Jofre

KorePartners Spotlight: Rod Turner, Founder, Chairman, and CEO of Manhattan Street Capital

With the recent launch of the KoreConX all-in-one RegA+ platform, KoreConX is happy to feature the partners that contribute to its ecosystem. Rod Turner is…

by Oscar Jofre

What is Regulation A+?

Regulation A+ (RegA+) was passed into law by the SEC in the JOBS Act, making it possible for companies to raise funding from the general…

by Oscar Jofre

Meet the KorePartners: Andrew Corn, CEO of E5A Integrated Marketing

With the recent launch of the KoreConX all-in-one RegA+ platform, KoreConX is happy to feature the partners that contribute to its ecosystem.   From the…

by Sara Hanks

Foreign Issuers Using Regulation A and Regulation CF

For some reason, this issue has been coming up a lot lately. Our usual response to the question “Can non-US issuers make a Regulation A…

by Sara Hanks

SEC Proposes Relief for “Finders”

I have long (oh so long) been one of those urging the SEC to give some clarity with respect to the status of “finders.” See here for…

by Oscar Jofre

How to Manage Investments in Private Companies

For investors, investing in private companies can be a beneficial way to diversify their investment portfolios. Whether the investment was made through private equity or…

by Kendall Almerico

What is Reg A plus versus Reg A?

The simple answer is that today, Regulation A (Reg A) and Regulation A+ (Reg A+) are the exact same law. There is no difference, and…

by Oscar Jofre

SEC changes to RegA+ and RegCF

On 04 March 2020, the US Securities Exchange Commission (SEC) has laid out the proposed changes that are going to have a major impact on…

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