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Why Successful Reg CF Issuers Should Consider Reg A for Their Next Raise

NOTE: WealthForge no longer offers services and technology for Regulation A offerings. Click to view our current services for ...
Ryan Gunn October 11, 2018 0

6 Factors to Determine if You Are an Unregistered Broker

Last year, the SEC reported 53 standalone enforcement actions in its “Broker Dealer” category. As a matter of public policy, ...
Brandy Brown September 17, 2018 0

Fintech Straight Through Processing

2 Technology Tools Securities Attorneys Can Recommend to Issuer Clients

Last month, WealthForge hosted a round table in Richmond, VA with local business and securities attorneys to discuss the emerging ...
Chris Rohde September 11, 2018 0

Do You Need a Securities License?

Last month Tim Boykin, WealthForge’s corporate counsel, and Jim Raper, Chief Compliance Officer, sat down with Kim Lisa Taylor, ...
Ryan Gunn August 28, 2018 0

Events Fintech

Breaking Tech-Adoption Paralysis: A Recap of the 2018 IPA Ops Tech Innovation Forum

  There appears to be a tangible shift in our industry, as discussed in many of the industry conferences this year, toward ...
Kevin Zwick August 15, 2018 0

Fintech

What Are NIGO Documents?

NIGO is an acronym that stands for “not in good order.” In investments, insurance, or pretty much any other industry that ...
Ryan Gunn August 9, 2018 0

Fintech

UX vs UI: How FinTech Companies Can Build Trust Through Software

There is a long and unresolved debate about the exact definitions of User Experience (UX) and User Interface (UI). We won’t wade ...
Terry Weatherstone July 23, 2018 0

FINRA SEC

How JOBS Act 3.0 Will Affect Alternative Investment Markets

The omnibus bill (The JOBS Act 3.0), as described by Representative Jeb Hensarling in an op ed for the Wall Street Journal, ...
Chris Rohde July 23, 2018 0

Fintech

Are High NIGO Rates on Investor Documents Costing You Time and Money?

When prospective investors decide to make an alternative investment, the documentation process is often overwhelming. Paper-based ...
Nicole Gibson July 5, 2018 0

Why Do I Need to Work with a Broker-Dealer?

As an issuer, you may be thinking why would I want or need another person involved in my offering? You already have your team, ...
Chris Rohde June 14, 2018 3