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Author: Jim Raper

Jim Raper

Jim Raper is the Chief Compliance Officer at WealthForge Securities, LLC, who is among the top 5 broker-dealers as measured by the number of original Form D filings over the past two years.
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6 Lessons to Learn About Private Offerings from an Experienced Broker-Dealer

As we wrap up our 2016 regulatory sales practice exam, I remain impressed with the exam staff’s attention to detail that the ...
Jim Raper April 5, 2017 1

Climbing the Everest of Equity Capital Formation: Are You Prepared to Avoid Potential Pitfalls?

Many, perhaps most, small businesses and ventures will require financing beyond mom and dad, credit cards, and traditional bank ...
Jim Raper August 4, 2016 0

Will Title III Impact Private Capital Markets in the Same Way as Title II?

Over the past few years, the JOBS Act’s potential benefits have been thoroughly examined in press, blogs, and in well-researched ...
Jim Raper May 13, 2016 0

Purpose Driven Capital Raising: The Overlooked Niche

  A successful business matches its goods and services with the market most likely to benefit the most from them. That business ...
Jim Raper November 27, 2015 0

SEC

General Solicitation, Reg D, and the SEC

  Dawn Lim’s piece in the Wall Street Journal, What Keeps Private Equity Up at Night was largely a synopsis of a recent survey ...
Jim Raper October 22, 2014 0
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