February 20, 2026
Why No Syndicates in Private Capital Markets? Is It as Simple as Greedy Bankers?
In the high-stakes world of capital raising, public markets operate like a well-oiled machine: vast sums are mobilized through lead bankers and sprawling syndicates, ensuring deals cross the finish line.
Latest posts
September 22, 2021
As a Canadian Company, can Canadians Invest in Your RegA+?
We have extensively discussed how Americans can invest in securities offered under Regulation A+. However, Canadian companies can also use the exemption to raise capital to fund their businesses. Despite the ability for Canadian companies to use Reg A+, this was a decision made by US regulators, as the JOBS Act is a US, not […]
Capital Markets, Capital Raising, Compliance, Regulation, Secondary Markets
September 20, 2021
Why do I need Blue Sky registration for Secondary Trading?
Through the Regulation A+ exemption, securities issuers can raise up to $75 million as of March 2021. This creates a significant opportunity for the everyday investor to make investments in private companies and for the companies to benefit from the large number of investors that exist within this space. Unlike securities purchased on a national […]
Capital Markets, Capital Raising, Compliance, Regulation, SEC, Secondary Markets
September 20, 2021
Why do I need Blue Sky registration for Secondary Trading?
Through the Regulation A+ exemption, securities issuers can raise up to $75 million as of March 2021. This creates a significant opportunity for the everyday investor to make investments in private companies and for the companies to benefit from the large number of investors that exist within this space. Unlike securities purchased on a national […]
Capital Markets, Capital Raising, Compliance, Regulation, SEC, Secondary Markets
September 15, 2021
How often do I need to hold an AGM?
Every year, Warren Buffet hosts the Berkshire Hathaway Annual Shareholders Meeting. This meeting is an Annual General Meeting (AGM), widely viewed with many people in attendance. The reason for this is that it is often more than the typical AGM, which we will detail below, as Buffet often talks about more than just Berkshire Hathaway. […]
Capital Markets, Capital Raising, Compliance, Investor Relations, Legal, Regulation, SEC
September 15, 2021
How often do I need to hold an AGM?
Every year, Warren Buffet hosts the Berkshire Hathaway Annual Shareholders Meeting. This meeting is an Annual General Meeting (AGM), widely viewed with many people in attendance. The reason for this is that it is often more than the typical AGM, which we will detail below, as Buffet often talks about more than just Berkshire Hathaway. […]
Capital Markets, Capital Raising, Compliance, Investor Relations, Legal, Regulation, SEC
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 of a broker-dealer’s size, they are in the business of buying or selling securities. In this sense, whenever a broker-dealer executes orders for clients, they act as a broker, while […]
Broker Dealer, Capital Markets, Capital Raising, Compliance, FINRA
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 of a broker-dealer’s size, they are in the business of buying or selling securities. In this sense, whenever a broker-dealer executes orders for clients, they act as a broker, while […]
Broker Dealer, Capital Markets, Capital Raising, Compliance, FINRA
September 8, 2021
How Does RegA+ Impact the Life Sciences Industry?
Since dramatic improvements to Regulation A that went into effect in 2015, the exemption has become a tremendous tool allowing private companies to raise significant capital. Unlike other funding methods, RegA+ allows companies to raise capital more efficiently with less hassle at a lower cost. Companies in diverse industries can benefit from the power […]
Capital Markets, Capital Raising, Regulation
September 8, 2021
How Does RegA+ Impact the Life Sciences Industry?
Since dramatic improvements to Regulation A that went into effect in 2015, the exemption has become a tremendous tool allowing private companies to raise significant capital. Unlike other funding methods, RegA+ allows companies to raise capital more efficiently with less hassle at a lower cost. Companies in diverse industries can benefit from the power […]
Capital Markets, Capital Raising, Regulation
September 1, 2021
How the Unaccredited Investor Benefits from RegA+
The passage of the JOBS Act in 2012 set in motion a significant change for the private capital markets. For so long, investments in private companies could only be done by wealthy accredited investors who would benefit immensely if the company was ever to go public during an IPO. While the everyday person has long […]
Capital Markets, Capital Raising, Regulation, Secondary Markets
September 1, 2021
How the Unaccredited Investor Benefits from RegA+
The passage of the JOBS Act in 2012 set in motion a significant change for the private capital markets. For so long, investments in private companies could only be done by wealthy accredited investors who would benefit immensely if the company was ever to go public during an IPO. While the everyday person has long […]
Capital Markets, Capital Raising, Regulation, Secondary Markets
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 signed into law by President Obama on April 5th of 2012. Within that legislation contained a form of raising capital for private companies available to any American, whether they were […]
Capital Markets, Capital Raising, Compliance, FINRA, Regulation, SEC
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 signed into law by President Obama on April 5th of 2012. Within that legislation contained a form of raising capital for private companies available to any American, whether they were […]
Capital Markets, Capital Raising, Compliance, FINRA, Regulation, SEC
August 16, 2021
Using RegCF to Raise Money for a Non-US Business
To use Reg CF (aka Title III Crowdfunding), an issuer must be “organized under, and subject to, the laws of a State or territory of the United States or the District of Columbia.” That means a Spanish entity cannot issue securities using Reg CF. But it doesn’t mean a Spanish business can’t use Reg CF. First, here’s […]
Capital Markets, Capital Raising, Legal, Regulation
August 16, 2021
Using RegCF to Raise Money for a Non-US Business
To use Reg CF (aka Title III Crowdfunding), an issuer must be “organized under, and subject to, the laws of a State or territory of the United States or the District of Columbia.” That means a Spanish entity cannot issue securities using Reg CF. But it doesn’t mean a Spanish business can’t use Reg CF. First, here’s […]
Capital Markets, Capital Raising, Legal, Regulation
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 United States in 2007, in response to the growing fears of economic collapse that could come from underregulated securities firms. One part of the FINRA rule set created in 2012 […]
Broker Dealer, Capital Markets, Capital Raising, Compliance, FINRA, Legal, Regulation, SEC
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 United States in 2007, in response to the growing fears of economic collapse that could come from underregulated securities firms. One part of the FINRA rule set created in 2012 […]
Broker Dealer, Capital Markets, Capital Raising, Compliance, FINRA, Legal, Regulation, SEC
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, this has to do with the responsibility or duty in a financial sense. As an adjective, it gets defined by the Oxford dictionary as “involving trust, especially with regard to […]
Broker Dealer, Capital Markets, Capital Raising, Compliance, FINRA, Legal, SEC
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, this has to do with the responsibility or duty in a financial sense. As an adjective, it gets defined by the Oxford dictionary as “involving trust, especially with regard to […]
Broker Dealer, Capital Markets, Capital Raising, Compliance, FINRA, Legal, SEC
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 estimation remaining undetected. Money laundering is the act of taking money obtained through illegal activities and then introducing it into the system to legitimize or clean it and then make […]
Broker Dealer, Capital Markets, Compliance, FINRA, Legal, Regulation, SEC