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…
Veni, Vidi, Verify
More than two millennia ago, Julius Caesar said the famous phrase, “Veni, Vidi, Vici”, triumphant in battle. This translates to, “I came, I saw, I…
What is Phishing?
No one thinks they’ll fall victim to a cybercrime, but in reality, you’ve likely come across a suspicious email that could be trying to steal…
What is the Role of FINRA?
When it comes to investment, there are a lot of things to think about. You want to make sure that you’re making smart decisions with…
Foreign Investors Key Considerations for Your Next Deal
This post was originally written by our KorePartners at Crowdfunding Lawyers. View the original post here. When discussing fundraising for your deals, most of…
A Look Back on the Last Year of RegA+
Marking a huge step forward in equity crowdfunding opportunities for entrepreneurs and investors alike, one year ago, the SEC’s game-changing decision went into effect that…
Can I Use My IRA for Private Company 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…
What is KYP?
Previously, we have talked about KYC or Know Your Client. KYC is a rule from the non-profit Financial Industry Regulatory Authority (FINRA), created in the…
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,…
Why are Background Checks Important?
Money laundering is a global issue, with the United Nations estimating that between $800 billion and $2 Trillion are laundered each year, with 90% of this…
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…
What Forms of Alternative Finance are Available?
Starting a business can be difficult. Most young companies enter the scene with little capital to help them grow. Taking a loan out from the…
What is RegTech?
In the wake of the 2008 economic crisis and the subsequent recession that followed, there was a push to create new regulations to govern financial…
What Impact Will Blockchain Have on Private Markets?
Blockchain has become a familiar buzzword, especially as things such as cryptocurrency grow in popularity. Currently, 46 million Americans now own Bitcoin. However, blockchain has many…
How a Member of the Crowd Made Crowdfunding Easier
A while back, one of our favorite start-up clients called me and asked me to speak to a potential investor. Paul Efron, a resident of…
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…
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…
Bringing Private Placements into the Digital Age
How blockchain-based technology will transform private markets Remember the first time you drove a car with a rear-facing camera? The first time you streamed…
Effective Date of the Amendments to Reg CF and Reg A
The amendments to Reg CF, Reg A, and other rules relating to capital formation utilizing exempt offerings have finally been published in the Federal Register,…
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…
Warrant Issuers, Keep Your Offering Statement Evergreen
An increasing number of issuers have been using Regulation A to make continuous offerings of units, consisting of a combination of equity, often common stock,…
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…
What is the Role of a Transfer Agent for a Private Company?
For companies issuing securities to investors, a transfer agent plays an important role in the process. If your company has yet to issue securities but…
Click “RESET”
In the future, 5 or 10 years from now, we will see an evolution in business and a paradigm shift occurring all due to the…
How to be Ready for Raising Capital
Whether you’ve raised capital in the past or are preparing for your first round, being properly prepared will help your company secure the funding it…
What are Blue Sky Laws and Why are They Important?
Originating in the aftermath of the Great Depression, “blue sky laws” were made possible by the Uniform Securities Act of 1956. Leading up to the…
Can I Use My IRA for Private Company 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…
Reg CF Investment Vehicles: What Are They Good For?
In its recent rulemaking, the SEC added new Rule 3a-9 under the Investment Company Act to allow for the use of “crowdfunding vehicles” for Reg…
The SEC proposes expanding the “accredited investor” definition
The SEC has proposed amending the definition of “accredited investors.” Accredited investors are currently defined as (huge generalization here) people who have net worth of $1 million…
