March 11, 2025
Private Capital Markets & Alts
Alternative investments (Alts) have become synonymous with the evolution of private capital markets. What was once a fragmented sector of private equity, venture capital, and […]
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.
KoreID Mobile App
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.
SEC
March 3, 2025
Change is Coming: What Do We Really Need?
By Marty Tate In the week following the 2024 Presidential Election, I received a number of calls from clients asking what this to expect. The […]
February 11, 2025
The Wheels of Regulation Go ‘Round and ‘Round
by Dr. David E. McClean CEO, The DMA Consulting Group MAIN is interested in regulation. Good regulation. Regulation that serves the public interest as well […]
March 1, 2024
Accredited investor definition and SEC Review
In this special article written by Laura Anthony from Securities Law Blog, we’ll learn more about recent matters regarding accredited investor definition and SEC Review. […]
January 10, 2024
RegD SEC Reporting Obligations
RegD SEC reporting obligations is a theme that causes a lot of doubts, even concerns, among people who are thinking about raising capital. The compliance […]
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 […]
June 20, 2023
Private Capital Market Regulations – 10 RegA+ Issuers Penalized for SEC Violation: What Can We Learn?
The Importance of Compliance in Private Capital Market Regulations We’ve discussed compliance at length and how it’s essential for building trust within the private capital […]
May 22, 2023
What is a CIK Number?
Recently, we received a question from an issuer who asked what a CIK number is. If you have ever filed a form with the Securities […]
April 3, 2023
Approaching the 11th Anniversary of the JOBS Act
Anniversary of the JOBS Act Eleven years ago, the Jumpstart Our Business Startups (JOBS) Act was signed into law in a White House Rose Garden […]
March 31, 2023
Reforms to RegD
With Regulation D (RegD) offerings, companies are exempt from registering securities with the SEC. Under RegD, companies can raise capital from accredited investors (and a […]