Broker-dealers

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, […]

July 24, 2024

2024 FINRA Industry Snapshot: Key takeaways and insights for the private capital markets

In July of 2024, FINRA published its 2024 Industry Snapshot, the yearly statistical report on registered representatives, brokerage firms, and market activities regulated by the […]

July 17, 2024

Cybersecurity on spotlight: SEC compliance on C&DI

Understanding the complexities of SEC compliance can be challenging for many businesses. With recent updates to cybersecurity disclosure requirements, staying informed is more critical than […]

May 8, 2024

5 Investment Trends for 2024 by Oscar Jofre

The landscape of private capital markets is evolving more rapidly than ever. Innovative technologies, shifting regulatory frameworks, and changing investor behaviors are reshaping how companies […]

April 29, 2024

Compliance check: why do you need a Bad Actor report?

Companies seeking innovative funding options beyond traditional bank loans or venture capital investments. Regulation A (RegA+), Regulation Crowdfunding (RegCF), and Rule 506c of Regulation D […]

April 5, 2024

12 Years of the JOBS Act: Impact on Startup Funding

12 Years of the JOBS Act It’s time to reflect on and remember the impact of this innovative legislation in the history of financial market. […]

February 7, 2024

The Broker-Dealer’s Guide to Due Diligence process

In the realm of private capital markets, due diligence is not just a procedure but a pledge—a commitment to uphold integrity, trust, and compliance.  This […]

March 24, 2023

SEC Amends Broker-Dealer Record-keeping Requirements

The SEC’s long-time policy for broker-dealers is to keep records of their business activities in a non-rewritable, non-erasable format – otherwise known as WORM (Write […]

August 10, 2022

How to Manage Investment Information

For entrepreneurs, it’s crucial to understand the private capital market well. Companies no longer need to go public to raise capital, enabling entrepreneurs to maintain […]

July 18, 2022

A $30 Trillion Market in 8 Years: Shari Noonan Speaks with Crowdfund Insider

The private securities market is predicted to grow exponentially in the next decade, with a total value of $30 trillion by 2030. Recently, Shari Noonan, […]