Built to assure that the state rules relating to resales of unlisted securities are met.
Kore’s TradeCheck walks the issuer through state requirements and what may be needed to comply, creating a report that details which states transactions may be effected in, and for what time period.
The Regulations (RegA+, RegD and RegCF) have enabled hundreds of companies to raise funds from investors across the country.
Those investors have received shares that, in the absence of contractual restrictions, are freely tradable (after one year in the case of Regulation CF (RegCF) or Regulation D (RegD)).
However, finding buyers or sellers of these securities means a new patchwork of regulation applies. Kore can help investors and intermediaries comply with those regulations.
Solution Our latest compliance service, helps satisfy these regulatory requirements and provides information to you and the ATS with respect to any trading restrictions that may be in place.
ReportThis assures that you meet the regulatory requirements for having your securities traded on an ATS. We walk you through the state requirements and what may be needed to comply and create a report detailing in which states trading may occur and for what time period.
Quick AccessInvestors will only need to enter their email addresses. The regulated platform will automatically detect that the individual already has a KoreID. As soon as the address is recognized, it will automatically prompt them to log in using the KoreID. Then, they can enter their password and answer a security question to be logged in.
The secondary market is the place where securities are traded after the company has sold its offering on the primary market and it’s also referred to as stock market.
Small investors can improve their chances of trading securities on the secondary market.
Anyone can purchase securities on the secondary market as long as they are willing to pay the asking price per share.
Trading securities is just as, if not more, regulated than the initial issuance of your securities, and there are requirements to be traded on an ATS.
These requirements are set by the broker-dealer operating the ATS and are based on state securities law relating to the correctness of the disclosure available about the company, operating history, and financial statements.
All the parts involved in a regulation process, including investors and intermediaries.
Issuers Broker-Dealers Secondary Market ATS
