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Interview: Vertalo & GUARDD Partner To Ensure Compliance With State and Federal Securities Laws

Vertalo is excited to announce its latest partnership with GUARDD, a SaaS platform that collects, verifies, and disseminates private company information, including financial data, and facilitates transparency for investors and Blue Sky compliance for issuers. Watch the full interview:

The Vertalo partnership with GUARDD will enable issuers who work with Vertalo to avoid committing unintentional violations of state securities laws. Through the GUARDD platform, Vertalo issuers will be able to maintain all compliance requirements, customized on a state-by-state basis. When offering a digital investment product, it is important to meet all regulatory requirements which may differ by jurisdiction. One area which is often overlooked are Blue Sky laws. Vertalo wants to ensure that all of its issuers and partners are fully compliant with securities regulations.

To learn about Blue Sky Laws in depth, read the GUARDD Whitepaper.

Blue Sky laws are state regulations that protect investors against securities fraud. These laws require that issuers register their offerings and provide company and financial disclosures or qualify for an exemption from registration. New digital investment products offer access to investors nationwide, which is an important advantage for assets like real estate that traditionally have a localized investor base.

Dave Hendricks, CEO & Co-founder of Vertalo says, “ We’re very excited that a team like GUARDD has risen to this challenge. We know that our partners are going to welcome the assistance of GUARDD so they do not have to figure out how to comply with these rules all by themselves. As private asset issuers and investors increasingly adopt digitization and tokenization technologies that facilitate secondary liquidity via regulated ATSs like North Capital, Templum, tZERO, Texture, Everflow, and INX/OFN, compliance with blue sky laws will dictate issuers’ ability to offer secondary sales of these revolutionary new instruments — which still need to comply with state laws. Issuers who comply will find a larger market and assume less tail risk.”

- Vertalo will be offering guards services to its clients who are United States issuers of digital securities

Sherwood Neiss, CEO & Co-founder of GUARDD says, “There is no one closer to who owns what security than a transfer agent that has access to a company’s cap table. When these investors desire liquidity prior to an exit event, they can seek to sell their shares on an ATS. Having a transfer agent as the touch point to make sure that there is a Blue Sky GUARDD report on the issuers is critical. We are very excited to be partnering with Vertalo particularly as they focus on leveraging the latest technology innovations to provide efficiency and transparency in the private capital market.”

The product: With a Blue Sky GUARDD report a company’s financial information is published in a National Securities Manual and their securities can trade on an ATS. The report is available as a hyperlink so that investors can have easy access to it and the underlying information.

Conclusion: “As Digital Asset markets continue to develop, and with US Regulators increasingly able to distinguish between unregistered ICOs and legitimate on-chain securities issuances, compliance services like GUARDD and Vetalo will play a big role in providing comfort to broker-dealers, issuers, investors and state regulators.” Dave Hendricks, Vertalo cofounder and CEO

For more information on Vertalo , visit

Read the GUARDD Whitepaper:



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A Connections, Compliance, and Cap Table Platform for Digital Asset Custody, Issuance Platforms, KYC/AML, Broker-Dealers, Exchanges & Investors in the Future