This research examines the impact of the JOBS Act and Regulation A (Reg A) offerings on small and emerging businesses’ access to capital funding. By analyzing data from SEC filings and other sources, the study explores the growth trends, issuer types, and funding status of Reg A filings. The...

Access to capital is crucial for small and emerging businesses, enabling them to sustain growth, foster innovation, and create job opportunities. While venture capital is often sought, other funding options such as equity crowdfunding, Regulation A issuances, and Regulation D offerings present...

Regulation A was established by the U.S. Securities and Exchange Commission in 1936 as a way for small security issues to be exempt from registration. The regulation permits private companies to raise capital from the general public without going through a full-scale public offering. However,...

Purpose – The purpose of this study is to suggest best practices for managing a successful Student Managed Investment Program (SMIP) based on the experience of the Marquette University’s Applied Investment Management (AIM) Program.Design/methodology/approach – We provide a detailed...

Generative AI tools have gained popularity in the financial industry, offering automation and innovative solutions. However, their usage also poses unique security risks. This article examines the potential risks associated with generative AI tools in the financial sector and proposes mitigation...

In this research project ("Using Artificial Intelligence and Machine Learning to Evaluate the Efficacy of the JOBS Act"), our goal is to create a dynamic database consisting of structured and unstructured data sets using artificial intelligence and machine learning techniques to gauge the...

This article highlights the rationale of extracting and analyzing information from Parts II and III of Form 1-A of Regulation A filings. This registration form filed with the SEC provides comprehensive information about the issuer, its operations, and financial condition, promoting transparency...

This literature review examines previous studies that looked at the effectiveness of Regulation A following enactment of the JOBS Act. While all the studies noted increased activity since 2015, several noted a lower level of activity than expected. This literature seeks to understand why small...

The debate over relaxed regulations for exempt offerings and its potential impact on capital formation and investor protection has been rekindled with the introduction of proposed legislation, H.R. 2799 - Expanding Access to Capital Act of 2023. This paper assesses the pros and cons of relaxed...

Regulation A (Reg A) offerings provide an alternative way for companies to raise capital from the public without undergoing the full registration and reporting requirements of a traditional initial public offering. To ensure that investors are fully informed about the investment opportunity, Reg...