by Oscar Jofre | Feb 11, 2025 | Capital Markets, Compliance, Regulation, SEC
by Dr. David E. McClean CEO, The DMA Consulting Group MAIN is interested in regulation. Good regulation. Regulation that serves the public interest as well as the interests of the industry, without undue burdens. As you may have gathered from news reports, there is a...
by Oscar Jofre | Feb 4, 2025 | Broker Dealer, Broker-dealers, Capital Markets, Compliance, Ecosystem, KoreConX
The private capital markets are evolving, driven by regulatory changes, technological advancements, and the increasing role of compliance in ensuring investor protection. Regulation CF, Regulation A, and Regulation D (506(b), 506(c), and 504) have opened new...
by Oscar Jofre | Jan 2, 2025 | Broker Dealer, Broker-dealers, Capital Markets, Capital Raising, Compliance, Ecosystem, FINRA
The journey of Online Capital Formation (OCF) since the signing of the JOBS Act in 2012 represents a seismic shift in democratizing access to capital markets. Initially known as “crowdfunding,” this framework has evolved into a sophisticated ecosystem that...
by Oscar Jofre | Dec 2, 2024 | KoreConX
When is a Transfer Agent Mandatory for Private Companies Raising Capital? A transfer agent isn’t always mandatory for private companies raising capital, but there are certain circumstances where it becomes necessary or highly beneficial. Here are key scenarios...
by Oscar Jofre | Nov 27, 2024 | Online investing, Private capital markets
Did you know that equity crowdfunding has opened the door to investing in early-stage startups for millions of people, not just accredited investors? This form of investment offers the chance to engage directly with companies you believe in and potentially benefit...
