by Oscar Jofre | Mar 3, 2025 | Blockchain, Capital Markets, Regulation, SEC
By Marty Tate In the week following the 2024 Presidential Election, I received a number of calls from clients asking what this to expect. The internet was a firestorm of speculation and rumors, including the possibility of the new administration dismantling the SEC. ...
by Oscar Jofre | Jul 10, 2024 | KoreConX
In this special article written by Laura Anthony from Securities Law Blog, we’ll learn more about the recent matter regarding the definition of “ a dealer” and changes by SEC. The SEC has finalized new rules amending the definition of a “dealer”...
by Oscar Jofre | Jan 26, 2024 | KoreConX
In the complex sphere of securities, the SEC’s Regulation S holds significant importance, but it is frequently misunderstood by many in the industry. Therefore, having a clear understanding about its role is essential for to be well-informed and avoid...
by Oscar Jofre | Jan 3, 2024 | KoreConX
Regulation A+ offers great fundraising chances for companies, but understanding SEC reporting obligations might be confusing sometimes. This guide highlights the key forms, deadlines, and compliance measures associated with Tier 1 and Tier 2 offerings. Essential info...
by Oscar Jofre | Jul 11, 2023 | Capital Markets, Capital Raising, Crowdfunding, FINRA, KoreConX, SEC
In the world of finance, “Communications and publicity by issuers” plays a critical role, especially when it comes to crowdfunding campaigns. The way issuers communicate about their securities offerings is tightly regulated by the SEC to ensure...
