by Oscar Jofre | May 22, 2023 | Compliance, Regulation, SEC
Recently, we received a question from an issuer who asked what a CIK number is. If you have ever filed a form with the Securities and Exchange Commission (SEC), you have probably come across the term Central Index Key (CIK). The CIK number is a unique identifier used...
by Oscar Jofre | May 12, 2023 | Capital Markets, Capital Raising, Compliance, Regulation
More than two millennia ago, Julius Caesar said the famous phrase, “Veni, Vidi, Vici”, triumphant in battle. This translates to, “I came, I saw, I conquered.” While the Roman Empire has long since fallen, these powerful words continue to ring true today – only in a...
by Oscar Jofre | May 10, 2023 | Capital Markets, Capital Raising, Regulation
No one thinks they’ll fall victim to a cybercrime, but in reality, you’ve likely come across a suspicious email that could be trying to steal login credentials, financial information, or your identity or install dangerous computer viruses. Maybe you’ve received an...
by Oscar Jofre | May 1, 2023 | Capital Markets, Capital Raising, Compliance, Regulation
If you’ve bought a home, you’ve likely heard the term escrow. In the homebuying process, escrow can be used to hold a good faith deposit while the contract is being finalized. It can also be used after the home is purchased to pay for property taxes, homeowners...
by Oscar Jofre | Apr 10, 2023 | Capital Markets, Capital Raising, Compliance, Regulation
When a company issues securities, it is vital to keep the official record of ownership and distribution accurate and up-to-date at all times. This process is managed by transfer agents who in addition to assuming responsibility for maintaining accurate records of...
by Oscar Jofre | Mar 27, 2023 | Capital Raising, Compliance, Regulation, SEC
Raising capital can be a tricky process. Fortunately, with the JOBS Act and its exemptions from SEC registration under RegA+, RegCF, or RegD, entrepreneurs can now access capital raising 24/7/365. Here are five tips to help you make the most of this opportunity and...
