by Oscar Jofre | Apr 14, 2025 | Broker Dealer, Broker-dealers, Capital Markets, Capital Raising, Compliance, KORE, SEC
🚨 SEC’s March 2025 Guidance Eases Burden on Accredited Investor Verification In a landmark move this March, the U.S. Securities and Exchange Commission (SEC) has introduced new guidance that simplifies the way issuers can verify whether an investor qualifies as...
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 13, 2021 | Broker Dealer, Capital Markets, Capital Raising, Regulation, SEC
During the recent Dare to Dream KoreSummit, David Weild IV, the Father of the JOBS Act, spoke about companies going from public to private, access to capital Reg A+, the future of small businesses raising capital, and the future of the broker-dealer system. The...
by Oscar Jofre | Nov 15, 2021 | Broker Dealer, Capital Markets, 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. Paul Karrlsson-Willis is the CEO of JUSTLY, a registered broker-dealer designed for companies to promote their ESG profiles as...
by Oscar Jofre | Sep 13, 2021 | Broker Dealer, Capital Markets, Capital Raising, Compliance, FINRA
Broker-dealers are an essential part of the fundraising process. These entities can be small, independent firms or part of a large investment bank. However, regardless of a broker-dealer’s size, they are in the business of buying or selling securities. In this...
