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 as the interests of the industry, without undue burdens. As you may have gathered from news reports, there is a...
The journey of Online Capital Formation (OCF) since the signing of the JOBS Act in 2012 represents a seismic shift in democratizing access to capital markets. Initially known as “crowdfunding,” this framework has evolved into a sophisticated ecosystem that...
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 details required by Securities and Exchange Commission (SEC) have a lot of particularities, which demands...
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 and Exchange Commission (SEC), you have probably come across the term Central Index Key (CIK). The CIK number is a unique identifier used...
More than two millennia ago, Julius Caesar said the famous phrase, “Veni, Vidi, Vici”, triumphant in battle. This translates to, “I came, I saw, I conquered.” While the Roman Empire has long since fallen, these powerful words continue to ring true today – only in a...
