FINRA

July 11, 2023

Communications and publicity by issuers prior to and during a Regulation CF (RegCF) Offering

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 […]

December 1, 2021

End to End for RegCF

When the JOBS Act was signed into law in 2012, it brought about many changes in the private capital markets, namely, the dramatic increase in […]

November 12, 2021

What are the Benefits of Digital Securities for Issuers and Investors?

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 […]

September 13, 2021

Why do I need a FINRA Broker-Dealer?

Broker-dealers are an essential part of the fundraising process. These entities can be small, independent firms or part of a large investment bank. However, regardless […]

August 23, 2021

How to Select a Crowdfunding Platform for Your Capital Raise

Introduction to the JOBS Act One of the significant advancements brought to the financial sector in recent years was the enaction of the JOBS Act […]

August 13, 2021

What is KYP?

Previously, we have talked about KYC or Know Your Client. KYC is a rule from the non-profit Financial Industry Regulatory Authority (FINRA), created in the […]

August 11, 2021

What is the Difference Between Fiduciary Responsibility and Regulatory Requirement?

By definition, a fiduciary is a person or an organization who holds a legal or ethical relationship of trust with another person or organization. Typically, […]

August 9, 2021

Why are Background Checks Important?

Money laundering is a global issue, with the United Nations estimating that between $800 billion and $2 Trillion are laundered each year, with 90% of this […]

January 8, 2021

KorePartner Spotlight: Etan Butler, Chair of Dalmore Group

With the recent launch of the KoreConX all-in-one RegA+ platform, KoreConX is happy to feature the KorePartners that contribute to its ecosystem.    Etan Butler […]

December 9, 2020

Why is a Broker-Dealer Important for Private Company Offerings?

If you’re looking to raise money for your private company, chances are that you’ve at least heard the term “broker-dealer.” However, if you’re new to […]