by Oscar Jofre | Sep 20, 2021 | Capital Markets, Capital Raising, Compliance, Regulation, SEC, Secondary Markets
Through the Regulation A+ exemption, securities issuers can raise up to $75 million as of March 2021. This creates a significant opportunity for the everyday investor to make investments in private companies and for the companies to benefit from the large number of...
by Oscar Jofre | Sep 15, 2021 | Capital Markets, Capital Raising, Compliance, Investor Relations, Legal, Regulation, SEC
Every year, Warren Buffet hosts the Berkshire Hathaway Annual Shareholders Meeting. This meeting is an Annual General Meeting (AGM), widely viewed with many people in attendance. The reason for this is that it is often more than the typical AGM, which we will detail...
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...
by Oscar Jofre | Sep 8, 2021 | Capital Markets, Capital Raising, Regulation
Since dramatic improvements to Regulation A that went into effect in 2015, the exemption has become a tremendous tool allowing private companies to raise significant capital. Unlike other funding methods, RegA+ allows companies to raise capital more efficiently with...
by Oscar Jofre | Sep 1, 2021 | Capital Markets, Capital Raising, Regulation, Secondary Markets
The passage of the JOBS Act in 2012 set in motion a significant change for the private capital markets. For so long, investments in private companies could only be done by wealthy accredited investors who would benefit immensely if the company was ever to go public...
by Oscar Jofre | Aug 30, 2021 | Capital Markets, Capital Raising, Compliance
The goal of any capital raising activity is to secure capital for the growth and development of the business. Without needed capital, it can often be challenging to expand; whether that means hiring more employees to keep up with demand, improving production...
