by Oscar Jofre | Jan 12, 2022 | Investors, Issuers
RegA+ is a securities exemption that allows companies to raise capital from accredited and unaccredited investors. There has been a lot of interest around Regulation A+ and its potential uses for companies outside of the traditional tech and biotech sectors. In this...
by Oscar Jofre | Jan 10, 2022 | Capital Markets, Capital Raising, Issuers
Reg CF allows companies to raise up to $5 million through an SEC-registered intermediary. Since increasing this limit from $1.07 million in 2021, private companies have raised over $1 billion in Reg CF offerings. This highlights Reg CF’s incredible success in opening...
by Oscar Jofre | Jan 3, 2022 | Investors, Issuers
Data and research are essential pieces of the puzzle regarding the private capital markets. Investors can make informed decisions about where to put their money, and private markets can attract the best investors by having access to accurate and timely data. By...
by Oscar Jofre | Nov 22, 2021 | Investors, Issuers
A transfer agent is responsible for the custody of securities and preserves books and records. They also keep up with who owns what investment, which can be especially important if a company goes bankrupt or merges with another entity. Transfer agents are a crucial...
by Oscar Jofre | Oct 8, 2021 | Issuers
When working with FINRA Broker-dealer, it’s not enough that they simply have the required licenses that are necessary, so make sure to ask some questions: Are you registered in all 50 states Are you register for RegA+ It is also key to understand what they actually do...
by Oscar Jofre | Jul 21, 2021 | Broker-dealers, Investors, Issuers
In 2007, the SEC approved the founding of the non-profit Financial Industry Regulatory Authority (FINRA). FINRA was created in the wake of a failing economy to consolidate the regulation of securities firms operating in the United States. The...
