by Oscar Jofre | May 31, 2023 | Issuers
Recently, we received a question from an issuer wondering what “direct listing” means. In short, a direct listing, also sometimes referred to as a direct public offering, is an offering in which an issuer raises capital directly from investors without a...
by Oscar Jofre | May 26, 2023 | Capital Markets, Capital Raising
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 and venture capital, not every option is suited for all entrepreneurs. In this context, the question...
by Oscar Jofre | May 24, 2023 | Issuers
Think of buying a traditional stock, listed on a public exchange like the New York Stock Exchange or NASDAQ. You can buy and sell these stocks freely; you can do so through a broker-dealer, online, or even through an app on your smartphone. You can sell it almost...
by Oscar Jofre | May 22, 2023 | Compliance, Regulation, SEC
Recently, we received a question from an issuer who asked what a CIK number is. If you have ever filed a form with the Securities and Exchange Commission (SEC), you have probably come across the term Central Index Key (CIK). The CIK number is a unique identifier used...
by Oscar Jofre | May 17, 2023 | Capital Markets, Capital Raising
Like warrants, options are a form of security called a derivative. As a derivative’s name suggests, these securities gain their value from an underlying asset. In the case of options, this is the underlying security. There are typically two primary forms of...
