by Oscar Jofre | Dec 16, 2020 | Capital Markets, Capital Raising, Compliance
Unlike the name suggests, a minute book is by no means minute. As a business grows, a well-kept minute book becomes an essential record of all important company meetings and allows for the information to be easily accessed when required. With an up-to-date minute...
by Oscar Jofre | Dec 11, 2020 | Capital Markets, Capital Raising, CapTable, Legal, Regulation, SEC
In its recent rulemaking, the SEC added new Rule 3a-9 under the Investment Company Act to allow for the use of “crowdfunding vehicles” for Reg CF investments. It is important to recognize that crowdfunding vehicles are quite limited, and not at all similar to the...
by Oscar Jofre | Dec 9, 2020 | Broker Dealer, Capital Markets, Capital Raising, Compliance, FINRA, Regulation, SEC
If you’re looking to raise money for your private company, chances are that you’ve at least heard the term “broker-dealer.” However, if you’re new to the process, you might not be too familiar with what they do and why they are a key component of the fundraising...
by Oscar Jofre | Dec 7, 2020 | Capital Markets, Capital Raising, Regulation, SEC
I have long (oh so long) been one of those urging the SEC to give some clarity with respect to the status of “finders.” See here for the latest piece. Early-stage companies raising funds very often reach out to a guy who knows some guys who have money and have...
by Oscar Jofre | Dec 4, 2020 | Capital Markets, Capital Raising, Investor Relations, Regulation
For investors, investing in private companies can be a beneficial way to diversify their investment portfolios. Whether the investment was made through private equity or RegA+, proper management can contribute to long-term success. However, once the investment is...
by Oscar Jofre | Nov 30, 2020 | Capital Markets, Investor Relations, Issuers, KoreConX
If you’re a company that is in the process of raising funds for your business, you’re likely looking to do so with the help of investors. By trading a piece of your company in exchange for some much-needed capital, you can fund your ideas and the growth of your...
