by Oscar Jofre | Jan 1, 2021 | Capital Markets, Capital Raising, Digital Securities, SEC, Transfer Agent
For companies issuing securities to investors, a transfer agent plays an important role in the process. If your company has yet to issue securities but will be doing so soon, a clear understanding of the purpose of a transfer agent is necessary when choosing the best...
by Oscar Jofre | Dec 31, 2020 | Broker Dealer, Capital Markets, Capital Raising, Compliance, Fintech, Regulation
In the future, 5 or 10 years from now, we will see an evolution in business and a paradigm shift occurring all due to the global COVID-19 pandemic. Many of us have been advocating that the business world has been operating ineffectively, but not until now has everyone...
by Oscar Jofre | Dec 28, 2020 | Capital Markets, Capital Raising, CapTable, Regulation, SEC
Whether you’ve raised capital in the past or are preparing for your first round, being properly prepared will help your company secure the funding it needs. Proper preparation will make investors confident that you are ready for their investments and have a foundation...
by Oscar Jofre | Dec 18, 2020 | Capital Markets, Capital Raising, KoreConX, Regulation, SEC
Individual retirement accounts (commonly shortened to IRAs) allow flexibility and diversity when making investments. Whether investing in stocks, bonds, real estate, private companies, or other types of investments, IRAs can be useful tools when saving for retirement....
by Oscar Jofre | Dec 11, 2020 | Capital Markets, Capital Raising, CapTable, Legal, Regulation, SEC
In its recent rulemaking, the SEC added new Rule 3a-9 under the Investment Company Act to allow for the use of “crowdfunding vehicles” for Reg CF investments. It is important to recognize that crowdfunding vehicles are quite limited, and not at all similar to the...
