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 31, 2023 | Capital Markets, Capital Raising, Compliance, SEC
With Regulation D (RegD) offerings, companies are exempt from registering securities with the SEC. Under RegD, companies can raise capital from accredited investors (and a limited number of nonaccredited investors in some cases) to support the growth of their...
by Oscar Jofre | Mar 29, 2023 | Capital Markets, Capital Raising, Compliance
. ising capital online can be a great way to a vast pool of potential investors. With the JOBS Act exemptions and many online funding portals available, it’s easier than ever to get started. Here are 7 Things You Need to Raise Capital Online in 2023. 1....
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...
by Oscar Jofre | Mar 24, 2023 | Broker-dealers
The SEC’s long-time policy for broker-dealers is to keep records of their business activities in a non-rewritable, non-erasable format – otherwise known as WORM (Write Once Read Many). But with new amendments to Rule 17a-4, broker-dealers are provided an audit trail...
