Broker-dealers

April 16, 2025

How Broker-Dealers Can Facilitate Compliant Alternative Investment Offerings

The private capital markets have experienced unprecedented growth, driven largely by regulatory changes introduced through the JOBS Act. Over the last five years, more than […]

April 14, 2025

SEC’s March 2025 Guidance Eases Burden on Accredited Investor Verification

🚨 SEC’s March 2025 Guidance Eases Burden on Accredited Investor Verification In a landmark move this March, the U.S. Securities and Exchange Commission (SEC) has […]

February 4, 2025

Securities Simplified: Mastering Compliance in Modern Markets

The private capital markets are evolving, driven by regulatory changes, technological advancements, and the increasing role of compliance in ensuring investor protection. Regulation CF, Regulation […]

January 2, 2025

The Evolution of Online Capital Formation: Insights from Oscar A. Jofre

The journey of Online Capital Formation (OCF) since the signing of the JOBS Act in 2012 represents a seismic shift in democratizing access to capital […]

October 28, 2024

KoreSummit The Rise: A New Era For Broker-Dealers

Expert insights and Knowledge for all – KoreSummit The Rise In its ongoing journey of sharing educational content for the private capital markets, KoreSummit continues […]

October 7, 2024

Unlocking New Client Opportunities: Andes Capital’s Approach to Online Capital-Raising

Online Capital Raising has opened doors for more people to invest, but the industry is constantly evolving, meaning broker-dealers must be adaptable. It’s a balancing […]

September 11, 2024

SEC Spring 2024 Agenda: Regulatory Updates you need to know

This blog post from the Laura Anthony from Securities Law Blog, examines the SEC’s Spring 2024 regulatory agenda. The agenda, although subject to change, gives […]

August 28, 2024

Private Capital Markets: Expert Insights from KoreSummit

Once considered a niche sector, private capital markets have now become a thriving source of growth and opportunity. This expansion has been driven by regulatory […]

August 14, 2024

Blockchain for Broker-Dealers: Revolutionizing Compliance & Efficiency

In today’s fast-paced financial world, broker-dealers face a myriad of challenges in managing paperwork, ensuring data security, and maintaining operational efficiency. Regulatory compliance is becoming […]

August 7, 2024

AI for Broker-Dealers: All You Need to Know

Artificial Intelligence (AI) is rapidly transforming industries, and the financial sector is no exception. AI offers numerous potential benefits for broker-dealers, including enhanced customer service, […]