by Oscar Jofre | Feb 4, 2025 | Broker Dealer, Broker-dealers, Capital Markets, Compliance, Ecosystem, KoreConX
The private capital markets are evolving, driven by regulatory changes, technological advancements, and the increasing role of compliance in ensuring investor protection. Regulation CF, Regulation A, and Regulation D (506(b), 506(c), and 504) have opened new...
by Oscar Jofre | Oct 9, 2024 | Issuers
Managing ownership and tracking shares can quickly become complicated for private companies issuing stock or other securities. This is where a transfer agent comes in. Although often associated with public companies, transfer agents also play a crucial role for...
by Oscar Jofre | Sep 23, 2024 | Issuers, KoreConX
Individual Retirement Accounts (IRAs) are a popular way for investors to save for retirement with tax benefits. As an issuer, offering investments that are IRA-eligible can attract a broader audience. This article outlines 3 simple steps to help issuers enable IRA...
by Oscar Jofre | Sep 18, 2024 | Issuers, Legal
Raising capital for real estate projects is a complex process that often requires the involvement of various professionals to ensure compliance, efficiency, and the best financial outcomes. While real estate sponsors frequently turn to legal advisors, financial...
by Oscar Jofre | Sep 11, 2024 | Broker-dealers, Investors, Legal
This blog post from the Laura Anthony from Securities Law Blog, examines the SEC’s Spring 2024 regulatory agenda. The agenda, although subject to change, gives crucial insight into future financial regulations. Key areas highlighted in this edition include...
