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 […]
September 13, 2021
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
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
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
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
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
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
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 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 […]
May 25, 2020
FINRA BD Requirements for RegA+ & Digital Securities The private markets are receiving a much updated revamp by the SEC which is having a major […]