by Oscar Jofre | Mar 10, 2023 | Capital Markets, Compliance
Equity to employees gives workers a share of ownership in the company they work for. Ownership in the form of a percentage can be given in recognition of loyalty, hard work, and dedication, or as an incentive to perform. Giving employees equity can be a great...
by Oscar Jofre | Mar 6, 2023 | Capital Markets, Capital Raising, Compliance
A cap table (short for capitalization table) is essential for any company looking to raise capital. It provides a detailed breakdown of the equity owned by shareholders, enabling founders to understand how their offerings will be impacted and make sound decisions...
by Oscar Jofre | Jan 25, 2023 | Compliance, Regulation, SEC
The Securities Act, passed in 1933, was created to protect investors following the stock market crash in 1929. It offers protection by ensuring more transparency and creating laws against fraud in the capital market. The Securities Act also requires companies to be...
by Oscar Jofre | Nov 14, 2022 | Compliance, Regulation, SEC
When it comes to investing, celebrities are just like the rest of us. They need to do their research before putting their money into anything. Unfortunately, many stars have fallen victim to investment schemes in the past without doing the proper due diligence....
by Oscar Jofre | Nov 2, 2022 | Capital Raising, Compliance, SEC
The Howey Test is a simple but important test used by the US Securities and Exchange Commission (SEC) to determine whether an investment contract is a security. Whether you are an investor or a company offering a security, it’s vital to know about the Howey Test...
by Oscar Jofre | Oct 26, 2022 | Capital Markets, Capital Raising, Compliance, Regulation, SEC
When it comes to investment, there are a lot of things to think about. You want to make sure that you’re making smart decisions with your money, and that you’re not being taken advantage of. That’s where the Financial Industry Regulatory Authority...
