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...
by Oscar Jofre | Apr 16, 2019 | Capital Markets, KoreConX, SEC
The regulator’s message is clear: there’s no room for tampering with the regulation when it comes to capital raising, and many companies that invested time and energy on ICOs (Initial Coin Offering) are now facing the consequences. But that doesn’t...
