by Oscar Jofre | May 17, 2023 | Capital Markets, Capital Raising
Like warrants, options are a form of security called a derivative. As a derivative’s name suggests, these securities gain their value from an underlying asset. In the case of options, this is the underlying security. There are typically two primary forms of...
by Oscar Jofre | Mar 20, 2023 | Capital Markets, Capital Raising, Secondary Markets
Through RegA+, RegCF, and RegD, hundreds of companies across the country have been able to raise capital from both retail and accredited investors. The shares held by these investors are freely tradeable (after one year in the case of RegCF or RegD, however, buying...
by Oscar Jofre | Nov 14, 2022 | Compliance, Regulation, SEC
When it comes to investing, celebrities are just like the rest of us. They need to do their research before putting their money into anything. Unfortunately, many stars have fallen victim to investment schemes in the past without doing the proper due diligence....
by Oscar Jofre | Oct 3, 2022 | Capital Raising, Compliance, KoreConX, SEC
On September 30, 2022, the SEC announced charges against 8 CEOs and CFOs for fraudulently promoting Regulation A+ securities offerings. The companies named by the SEC include Elegance Brands Inc. (now Sway Energy Corp.), Emerald Health Pharmaceuticals Inc., Hightimes...
by Oscar Jofre | Aug 15, 2022 | Blockchain, Digital Securities
With the emergence and development of blockchain technology, digital securities have seen wider adoption by investors and investment firms. Arising from the need for protection against fraud and as a way for investors to ensure asset ownership, digital securities are...
