by Oscar Jofre | Jun 20, 2023 | Capital Markets, Capital Raising, Compliance, SEC
The Importance of Compliance in Private Capital Market Regulations We’ve discussed compliance at length and how it’s essential for building trust within the private capital markets. But what happens when you’re not compliant? The SEC will eventually find out and...
by Oscar Jofre | May 22, 2023 | Compliance, Regulation, SEC
Recently, we received a question from an issuer who asked what a CIK number is. If you have ever filed a form with the Securities and Exchange Commission (SEC), you have probably come across the term Central Index Key (CIK). The CIK number is a unique identifier used...
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 | Apr 3, 2023 | Capital Markets, Capital Raising, SEC
Anniversary of the JOBS Act Eleven years ago, the Jumpstart Our Business Startups (JOBS) Act was signed into law in a White House Rose Garden ceremony. Looking back on this landmark legislation, we see its impact has been far-reaching. From increased access to capital...
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...
