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 | Oct 28, 2024 | Broker-dealers
Expert insights and Knowledge for all – KoreSummit The Rise In its ongoing journey of sharing educational content for the private capital markets, KoreSummit continues to excel. This was especially clear in October 2024, as the event featured not just one but...
by Oscar Jofre | Oct 7, 2024 | Broker-dealers
Online Capital Raising has opened doors for more people to invest, but the industry is constantly evolving, meaning broker-dealers must be adaptable. It’s a balancing act: staying compliant while discovering new growth opportunities. Firms like Andes Capital...
by Oscar Jofre | Sep 11, 2024 | Broker-dealers, Investors, Legal
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...
