by Oscar Jofre | Aug 23, 2021 | Capital Markets, Capital Raising, Compliance, FINRA, Regulation, SEC
Introduction to the JOBS Act One of the significant advancements brought to the financial sector in recent years was the enaction of the JOBS Act signed into law by President Obama on April 5th of 2012. Within that legislation contained a form of raising capital for...
by Oscar Jofre | Aug 20, 2021 | Capital Raising, KorePartner
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 capital for the past 35 years both for himself and for other companies. He has made the transition from...
by Oscar Jofre | Aug 18, 2021 | Investors
Today, there are many ways to buy and sell securities. For publicly traded companies, 75% of Americans are familiar with investing apps or online accounts. For private companies, many investors in companies invest with a broker-dealer and or maintain their own...
by Oscar Jofre | Aug 16, 2021 | Capital Markets, Capital Raising, Legal, Regulation
To use Reg CF (aka Title III Crowdfunding), an issuer must be “organized under, and subject to, the laws of a State or territory of the United States or the District of Columbia.” That means a Spanish entity cannot issue securities using Reg CF. But it doesn’t mean a...
by Oscar Jofre | Aug 13, 2021 | Broker Dealer, Capital Markets, Capital Raising, Compliance, FINRA, Legal, Regulation, SEC
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 United States in 2007, in response to the growing fears of economic collapse that could come from underregulated...
