Is Reg D Suitable for My Company?

by Oscar Jofre | Jan 9, 2023 | Capital Markets, Capital Raising

Regulation D (Reg D) is a set of rules established by the U.S. Securities and Exchange Commission (SEC) that allows companies to raise capital without registering their securities for public sale and is related to, but different than other JOBS Act regulations. Reg D...

The SEC Can Stop Your Regulation A Offering At Any Time

by Oscar Jofre | Aug 29, 2022 | KoreConX

The SEC has two powerful tools to stop your Regulation A offering anytime. Rule 258 Rule 258 allows the SEC to immediately suspend an offering if The exemption under Regulation A is not available; or Any of the terms, conditions, or requirements of Regulation A have...

Quarterbacks: Their Role and Why They’re Essential for Your RegA+ Raise

by Oscar Jofre | Jun 1, 2022 | Capital Markets, Capital Raising

In the world of Reg A+, quarterbacks are essential to a successful offering. They play a critical role in the overall success of an offering, and their importance should not be underestimated. This article will explore the role of the quarterback and explain why they...

What Due Diligence Do I Need for My RegA+ Offering?

by Oscar Jofre | Mar 28, 2022 | KoreConX

If you’re thinking of conducting a RegA+ offering, you’ll need to do some due diligence first. This blog post will outline what you should investigate before proceeding with your offering. We’ll cover the key areas you need to look at, including the...

What is the Difference Between Fiduciary Responsibility and Regulatory Requirement?

by Oscar Jofre | Aug 11, 2021 | Broker Dealer, Capital Markets, Capital Raising, Compliance, FINRA, Legal, SEC

By definition, a fiduciary is a person or an organization who holds a legal or ethical relationship of trust with another person or organization. Typically, this has to do with the responsibility or duty in a financial sense. As an adjective, it gets defined by the...