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 […]
Kore is the first of its kind, an All-In-One Platform that unites tools to securely and efficiently manage essential business data and facilitate compliance.
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Kore is the first of its kind, an All-In-One Platform that unites tools to securely and efficiently manage essential business data and facilitate compliance.
FINRA
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 […]
June 9, 2020
The SEC proposes expanding the “accredited investor” definition
The SEC has proposed amending the definition of “accredited investors.” Accredited investors are currently defined as (huge generalization here) people who have net worth of $1 million […]
June 1, 2020
Equity Crowdfunding Platforms (RegCF)
As of 02 JUNE 2020, there are 51 active RegCF Equity Crowdfunding Platforms helping companies raise up to $1.0M USD. We are all anticipating that RegCF […]
May 25, 2020
FINRA BD Requirements for RegA+ & Digital Securities
FINRA BD Requirements for RegA+ & Digital Securities The private markets are receiving a much updated revamp by the SEC which is having a major […]