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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

Compliance SEC FINRA

5 Regulatory Changes That Would Benefit the Private Placement Marketplace

1. Verification of accredited investors For an offering exempt from registration under Rule 506(c), the issuer must take ...
Chris Rohde June 29, 2017 1

Investing Investors Alternatives

How Millennials Are Redefining the Future of Private Investing

Any passable list of stereotypical millennial descriptors is bound to include “debt-ridden” and “under-employed.” These hardly ...
Ryan Gunn June 16, 2017 0

FINRA Broker-Dealer Compliance

New FINRA Guidance Affects Broker Dealer Communication Rules

In April, the Financial Industry Regulatory Authority (FINRA), the self-regulatory organization that governs broker-dealers like ...
Chris Rohde May 16, 2017 0

Securities Compliance

What's a Security? The Legal Aspects of Raising Money from Private Investors

The following is a guest post written by Kim Lisa Taylor. Kim and the other members of the Syndication Attorneys team focus on ...
Kim Lisa Taylor May 15, 2017 0

Investing

Industry Spotlight: Litigation Finance

Litigation finance, an asset class typically reserved for institutional investors, is becoming more accessible through online ...
Mat Dellorso May 8, 2017 0

Compliance

Understanding Blue Sky Laws

Where does a company turn to understand state-level regulations imposed upon it? Blue sky laws of course.  These descriptively ...
Abby Johansen April 28, 2017 0

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