by Oscar Jofre | Oct 25, 2021 | Capital Markets, Capital Raising, Regulation, SEC
It seems 2021 is the year where we continue to break new ground for the JOBS Act, and today marks a momentous milestone in its history. Fundamentally, the act was designed to empower businesses and democratize capital. Not only has it succeeded in this goal, but it...
by Oscar Jofre | Oct 20, 2021 | Capital Markets, Capital Raising, Compliance, Digital Securities, SEC, Security Token
As the private capital market continues to undergo a digital transformation, ideas like blockchain, digital securities, and tokenization continue to be discussed by regulators, issuers, and investors. “Tokens” represent actual ownership in a security and is 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 | 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...
by Oscar Jofre | Aug 13, 2021 | Broker Dealer, Capital Markets, Capital Raising, Compliance, FINRA, Legal, Regulation, SEC
Previously, we have talked about KYC or Know Your Client. KYC is a rule from the non-profit Financial Industry Regulatory Authority (FINRA), created in the United States in 2007, in response to the growing fears of economic collapse that could come from underregulated...
