Kore Blogs

September 11, 2024

SEC Spring 2024 Agenda: Regulatory Updates you need to know

This blog post from the Laura Anthony from Securities Law Blog, examines the SEC’s Spring 2024 regulatory agenda. The agenda, although subject to change, gives crucial insight into future financial regulations. Key areas highlighted in this edition include corporate governance, cybersecurity, and investment regulations. Interestingly, there are fewer immediate action items compared to previous agendas, […]

September 9, 2024

What is the difference between Broker-Dealer vs RIA?

In the financial world, broker-dealers and registered investment advisers are two central figures that often get people talking.  They both play important roles, yet understanding their differences is essential for anyone involved with investments or the private capital market.  While they both provide investment services, they operate under different regulations, cater to varying client needs, […]

September 4, 2024

Key Insights into Reg CF Resale Restrictions

Understanding the nuances of financial regulations is crucial for anyone involved in the private capital markets. While the rules may seem straightforward at first glance, their true implications often require a deeper dive. This special article, written by Jamie Ostrow and Andrew Stephenson will explore a specific aspect of Regulation Crowdfunding, focusing on Reg CF […]

August 28, 2024

Private Capital Markets: Expert Insights from KoreSummit

Once considered a niche sector, private capital markets have now become a thriving source of growth and opportunity. This expansion has been driven by regulatory changes, technological innovation, and greater access to investment opportunities. In this special KoreSummit session, our industry experts Peter Daneyko (Chief Revenue Officer of Kore), Dr. Kiran Garimella (Chief Scientist & […]

August 26, 2024

Crowdfunding Platforms for Startups in 2024: how to find the perfect match?

Crowdfunding has become a buzzword in the startup ecosystem, offering a viable alternative to traditional fundraising methods. As we move further into 2024, the landscape of crowdfunding platforms has evolved, catering to diverse industries and investor types.  In this blog post, we will explore everything you need to know about the best crowdfunding platforms for […]

August 21, 2024

What is Net Worth? Understanding Your Financial Position

In an era of economic uncertainty, understanding your net worth isn’t just smart – it’s essential. Net worth isn’t just for the rich and famous. It’s the cornerstone of personal finance, and understanding it is key to taking control of your financial future. This blog post demystifies the concept, showing you why it matters and […]

August 19, 2024

Capital Raise Strategy: Why IRA Investments Matter?

Individual Retirement Accounts (IRAs) represent a significant, yet often underutilized, source of investment capital in the private markets. IRA as of 2023 stands at $38.3T the largest asset pool in the USA. Despite the advantages, many companies fail to actively promote the acceptance of IRA investments in their fundraising strategies, missing out on substantial capital […]

August 14, 2024

Blockchain for Broker-Dealers: Revolutionizing Compliance & Efficiency

In today’s fast-paced financial world, broker-dealers face a myriad of challenges in managing paperwork, ensuring data security, and maintaining operational efficiency. Regulatory compliance is becoming increasingly complex, while investor expectations continue to rise. A telling statistic from the financial industry reveals that compliance costs for financial institutions have increased by over 60% in the past […]

August 12, 2024

Innovation and Trust in the Private Capital Markets

We are thrilled to announce a significant milestone in our journey: KoreConX is now simply KORE. This change is more than just a new name—it’s a reflection of our dedication to providing the most efficient, secure, and innovative infrastructure for the Private Capital Markets. Why KORE? The decision to simplify our name to KORE stems […]

August 7, 2024

AI for Broker-Dealers: All You Need to Know

Artificial Intelligence (AI) is rapidly transforming industries, and the financial sector is no exception. AI offers numerous potential benefits for broker-dealers, including enhanced customer service, improved risk management, and streamlined operations. However, navigating the complexities of AI implementation and compliance, particularly with FINRA regulations, is essential for broker-dealers to harness these advantages effectively. Navigating FINRA […]

August 5, 2024

Non-Accredited Investor Definition: All You Need to Know + FAQs

Investing can be a powerful tool for wealth creation, but it often comes with rules and classifications. One such classification is the distinction between accredited and non-accredited investors. Understanding who non-accredited investors are, their limitations, and the opportunities available to them is crucial for anyone looking to navigate the private capital markets. In this blog […]

July 31, 2024

Strategic Stacking: Maximizing Fundraising Potential with Reg D, Reg CF, and Reg A+

In today’s dynamic fundraising landscape, entrepreneurs are constantly seeking innovative strategies to secure capital. One approach gaining traction is the concept of the crowdfunding stack. This powerful technique leverages a combination of Regulation D (Reg D), Regulation Crowdfunding (Reg CF), and Regulation A+ (Reg A+) offerings, each catering to distinct investor groups.   Crowdfunding Stack: […]

July 29, 2024

Reg D and Reg CF: Can They Be Used Simultaneously? 

Introduction Fundraising regulations can be complex for businesses looking to raise capital. Among the options available, Reg D and Reg CF (Regulation D and Regulation Crodfunding) are popular choices for companies seeking to attract investors. Both offer unique benefits and cater to different types of investors, making them valuable tools in a company’s fundraising strategy. […]

July 24, 2024

2024 FINRA Industry Snapshot: Key takeaways and insights for the private capital markets

In July of 2024, FINRA published its 2024 Industry Snapshot, the yearly statistical report on registered representatives, brokerage firms, and market activities regulated by the organization. In today’s article, we’ll discuss this report and provide useful insights on what it means for the private capital markets. As a leading technology provider in the Private Capital […]

July 22, 2024

What is the Sauce to Success? A Talk with Mehdi Zarhloul, from Crazy Pita

In the competitive world of the food industry, finding the sauce to success can be challenging. It is like uncovering the perfect blend of ingredients that turns a simple meal into an unforgettable experience. But it’s not only about recipes, it involves heart, soul, and things we can’t buy at the grocery store. In a […]

July 17, 2024

Cybersecurity on spotlight: SEC compliance on C&DI

Understanding the complexities of SEC compliance can be challenging for many businesses. With recent updates to cybersecurity disclosure requirements, staying informed is more critical than ever. In this article, written by Laura Anthony of the SecuritiesLaw Blog, we delve into the key aspects of these new regulations and explore what they mean for companies today. […]

July 15, 2024

Attention, Broker-Dealers! Tips for client retention

In the fast-evolving world of private capital markets, broker-dealers face unique challenges that require constant vigilance and adaptation. Ensuring compliance with the JOBS Act and its regulations (Regulation CF, A, and D), managing investor relations, and maintaining robust documentation are all critical aspects. However, amidst these responsibilities, one factor stands paramount: client retention. Retaining clients […]

July 10, 2024

Updating the definition of A “Dealer”: changes by SEC

  In this special article written by Laura Anthony from Securities Law Blog, we’ll learn more about the recent matter regarding the definition of “ a dealer” and changes by SEC.  The SEC has finalized new rules amending the definition of a “dealer” under the Exchange Act, following a long time of litigation against small-cap and […]

July 8, 2024

Raising Capital with JOBS Act: what's the best regulation?

The landscape of private capital markets has been significantly reshaped by the Jumpstart Our Business Startups (JOBS) Act, signed into law in 2012.   This landmark legislation introduced several regulatory pathways for companies to raise capital more efficiently and effectively. Among these regulations, the most commonly used are Regulation A+, Regulation D, and Regulation Crowdfunding (Reg […]

July 3, 2024

How to Decide How Much Capital to Raise?

Deciding how much capital to raise is a key decision for any business, especially in the ever-changing landscape of private capital markets. This decision not only impacts your company’s immediate financial health but also its long-term strategic growth.  In this blog, we’ll explore the complexities of determining fundraising needs, the strategic approaches that can support […]