Is your transfer agency equipped to support the next wave of capital formation?

A transfer agent’s role in Reg A+ and Reg D securities offerings By Vanessa Malone A growing investor base The exempt securities market, which includes popular capital raising vehicles Regulation A+(Reg A+) and Regulation D (Reg D), has surpassed the registered securities market. 69% of capital formation in 2019 was generated through exempt securities offerings.¹ This […]Continue Reading

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The missing link in Reg CF and Reg A+ securities offerings

By Vanessa Malone As we discussed in last week’s blog, the amount of capital raised through exempt securities offerings has outpaced the level of capital formation through registered securities offerings. The SEC’s recent capital formation report outlines a set of amendments to simplify and improve common securities exemptions issuers utilize to raise capital. Included in the proposal, […]Continue Reading

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A new wave of investment opportunity may be coming to U.S. investors

By Vanessa Malone Currently, companies seeking to raise capital by issuing securities go about it in two ways. They could register and offer their securities to the public through what’s known as an initial public offering “IPO” or they could issue their securities to select investors through what’s known as a private placement. Under federal […]Continue Reading

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SEC proposes amendments to popular capital raising vehicles Reg A+, Reg D, & Reg CF

Proposed amendments to the trillion dollar securities exemption market and the tech out there to help issuers streamline the capital raising process By Vanessa Malone Last week, the Securities and Exchange Commission (SEC) announced that it has voted to propose a set of amendments to simplify and improve common securities exemptions issuers use to raise capital. […]Continue Reading

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Removing cryptocurrency volatility from the security token marketplace

By Vanessa Malone This week, we announced that Horizon’s blockchain technology suite will power Antigua & Barbuda’s international exchange for investors to buy and sell compliant digital securities, also referred to as security tokens.  The proposed framework combines three critical components for a healthy digital securities marketplace to thrive on the Ethereum public blockchain: Government […]Continue Reading

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