by Oscar Jofre | Jan 22, 2021 | Capital Markets, Capital Raising, Compliance, Digital Securities, Issuers, Regulation, SEC
For companies looking to raise capital, there are many different options. While not every option may be best suited for every company, understanding each will help companies choose which one is best for them. In the early stages of raising capital, seeking...
by Oscar Jofre | Jan 20, 2021 | Capital Markets, Capital Raising, Investor Relations, SEC, Secondary Markets
Regulation A+ (RegA+) was passed into law by the SEC in the JOBS Act, making it possible for companies to raise funding from the general public and not just from accredited investors. With the implementation of Title IV of the act, the amount that companies can raise...
by Oscar Jofre | Dec 9, 2020 | Broker Dealer, Capital Markets, Capital Raising, Compliance, FINRA, Regulation, SEC
If you’re looking to raise money for your private company, chances are that you’ve at least heard the term “broker-dealer.” However, if you’re new to the process, you might not be too familiar with what they do and why they are a key component of the fundraising...
by Oscar Jofre | Dec 7, 2020 | Capital Markets, Capital Raising, Regulation, SEC
I have long (oh so long) been one of those urging the SEC to give some clarity with respect to the status of “finders.” See here for the latest piece. Early-stage companies raising funds very often reach out to a guy who knows some guys who have money and have...
by Oscar Jofre | Jun 9, 2020 | Broker Dealer, Capital Markets, Capital Raising, CapTable, Compliance, Digital Securities, FINRA, Investor Relations, KoreProtocol, Legal, Regulation, Secondary Markets, Security Token, Transfer Agent
The SEC has proposed amending the definition of “accredited investors.” Accredited investors are currently defined as (huge generalization here) people who have net worth of $1 million (excluding principal residence) or income of $200,000 ($300,000 with spouse) or...
