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Investors Capital Raise 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

Investors Regulation 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

Investing Broker-Dealer Fintech Issuers

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

Reg D SEC Compliance Issuers 506b

What Constitutes a Pre-existing Relationship in a 506(b) Offering?

Regulation D, Rule 506(b) provides safe harbor for issuers selling unregistered securities as long as the following requirements ...
Chris Rohde June 29, 2018 0

Investors Regulation Broker-Dealer Compliance Issuers

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 2

Fintech

Why Agile? Software Development in FinTech

In 2011, Marc Andreesen published an Op-Ed in the Wall Street Journal entitled Why Software Is Eating the World. This article is ...
Terry Weatherstone June 5, 2018 0

General Solicitation Investors PPM Issuers

How to Expand Your Reach When Raising Private Capital

Navigating regulatory hurdles, preparing offering documents, and figuring out how to efficiently process transactions are all ...
Mat Dellorso May 4, 2018 1

Investors Fintech Cybersecurity

Lessons from Facebook’s Follies: Are you Doing Enough to Protect your Investors’ Privacy?

As you’ve probably seen, Facebook has recently been in the news for all the wrong reasons. Facebook’s CEO, Mark Zuckerberg, has ...
Tim Boykin April 16, 2018 0

General Solicitation Broker Registration Securities Real Estate

The Howey Test: When is a Real Estate Interest a Security?

The real estate industry adopted the provisions of the JOBS Act, particularly general solicitation using 506(c), earlier and more ...
Tim Boykin April 10, 2018 0
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