by Oscar Jofre | Sep 22, 2021 | Capital Markets, Capital Raising, Compliance, Regulation, Secondary Markets
We have extensively discussed how Americans can invest in securities offered under Regulation A+. However, Canadian companies can also use the exemption to raise capital to fund their businesses. Despite the ability for Canadian companies to use Reg A+, this was a...
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 | 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...
by Oscar Jofre | Aug 23, 2021 | Capital Markets, Capital Raising, Compliance, FINRA, Regulation, SEC
Introduction to the JOBS Act One of the significant advancements brought to the financial sector in recent years was the enaction of the JOBS Act signed into law by President Obama on April 5th of 2012. Within that legislation contained a form of raising capital for...
