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Broker Registration Compliance SEC Securities

Dallas Seller’s Club, Part 1: The “Gray Area” in Unregistered Brokerage Activity

This is the first installment in a series of posts about SEC enforcement action against Retirement Surety, LLC, Crescendo ...
Abby Johansen October 31, 2017 0

Reg A Reg D IPO

The Difference Between Regulation A and Other Capital Raise Options

The JOBS Act of 2012 created and revised various methods for small and emerging companies to raise capital. Regulation A (Reg A), ...
Ryan Gunn October 10, 2017 0

Capital Raise Reg D General Solicitation

5 Surprising Cities for Form D Capital Raise Activity

Prior to the JOBS act, which introduced the ability to market some securities online through “general solicitation,” issuers were ...
Ryan Gunn October 4, 2017 0

Advisors Fintech Alternatives

The Pillars of the RIA Technology Stack

The financial services market is evolving. Client demographics are changing; millennials—primed to inherit an immense sum in ...
Ryan Gunn August 23, 2017 0

1031 Exchange Taxes

Proposed Tax Changes Could Eliminate the 1031 Exchange

After tabling the plan to repeal and replace the Affordable Care Act (also known as Obamacare), the legislative focus in ...
Chris Rohde August 17, 2017 0

SEC FINRA

“Where Do I Sign?”: E-Signatures Acceptable for Private Investments

Historically, investing in securities has been a largely manual process with documents being mailed or faxed back and forth to be ...
Josh Galante August 16, 2017 0

Reg D Compliance Fintech

3 Ways Reg D Issuers Can Control Offering Costs

For issuers, launching a successful Regulation D offering can be an expensive and time-consuming endeavor. To keep the process ...
Kyle Engelken July 26, 2017 1

Compliance Broker-Dealer

Why You Need a Broker Dealer: A Securit(ies) Blanket for the Investment World

With an increase in volume in alternative investments, such as Regulation D and even Regulation A offerings, the private ...
Josh Galante July 17, 2017 1

Investing Returns

Have Your Cake and Eat It Too: How Impact Investing Returns Stack Up

What is Impact Investing? Impact investing, also known as socially responsible investing (SRI), is the practice of investing in ...
Ryan Gunn July 11, 2017 0

Cybersecurity

4 Steps to Ensuring Your Company’s Cybersecurity Program is Up-to-Date

What is the difference between privacy and cybersecurity? Privacy generally applies to an individual’s right to not have his or ...
Tim Boykin July 10, 2017 0

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