Comparison of Equity Crowdfunding and Venture Capital Funding For Startups
- Admin
- Mar 25, 2024
Choosing the right funding source is pivotal for startups, impacting their growth, control, and futu....
The SEC’s New Disclosure and IPO Rules on SPACs, Shell Companies
- Admin
- Mar 25, 2024
In a landmark move, the U.S. Securities and Exchange Commission (SEC) introduced a comprehensive set....
SEC Expands Oversight with New Rules for Market Participants Acting as “Dealers” or “Government Securities Dealers”
- Admin
- Mar 21, 2024
The Securities and Exchange Commission (SEC) has taken a significant step in enhancing market integr....
Financing/IPO Transactions – February 2024
- Admin
- Mar 16, 2024
The IPO and financing transactions listing for the month of February 2024 can be found below. These ....
Comparison of Equity Crowdfunding and Venture Capital Funding For Startups
- Admin
- Feb 26, 2024
Choosing the right funding source is pivotal for startups, impacting their growth, control, and futu....
Financing/IPO Transactions – January 2024
- Admin
- Feb 10, 2024
The IPO and financing transactions listing for the month of January 2024 can be found below. These t....
Review of the “Accredited Investor” Definition under the Dodd-Frank Act
- Admin
- Jan 15, 2024
The "Accredited Investor" definition, established under the Dodd-Frank Act, plays a significant role....
Navigating New Disclosure Requirements in 2024
- Admin
- Jan 13, 2024
As 2024 unfolds, businesses face a new set of disclosure requirements that bring both challenges and....
The FinCEN Corporate Transparency Act: A Reporting Requirements for all U.S. Companies
- Admin
- Jan 13, 2024
The FinCEN Corporate Transparency Act (CTA) marks a significant shift in the regulatory landscape fo....
Financing/IPO Transactions – December 2023
- Admin
- Jan 12, 2024
The IPO and financing transactions listing for the month of December 2023 can be found below. These ....
Financing/IPO Transactions – November 2023
- Admin
- Dec 13, 2023
The IPO and financing transactions listing for the month of November 2023 can be found below. These ....
Navigating the New Landscape: The Impact of the SEC’s Revised Privacy Act Rule
- Admin
- Dec 08, 2023
In a significant move to bolster data protection, the Securities and Exchange Commission (SEC) has u....
Is the OTC Pink Tier Easy to Get Onto?
- Admin
- Nov 15, 2023
Entering the OTC Pink Tier is not as straightforward as it might seem. For many companies, especiall....
What Is a Public Company Transfer Agent vs a Private Company Transfer Agent?
- Admin
- Nov 15, 2023
In the financial world, transfer agents are crucial for both public and private companies. They over....
Understanding Section 12(g) of the Securities Exchange Act
- Admin
- Nov 14, 2023
Section 12(g) of the Securities Exchange Act is a pivotal regulation for companies close to becoming....
Financing/IPO Transactions – October 2023
- Admin
- Nov 10, 2023
The IPO and financing transactions listing for the month of October 2023 can be found below. These t....
What Is Qualification Mean for a Reg A Filing and How Is It Different Than SEC Effectiveness?
- Admin
- Nov 10, 2023
Qualification for a Regulation A (Reg A) filing is a critical step for companies seeking to raise ca....
What Is Notice of Effectiveness for an S-1?
- Admin
- Nov 10, 2023
When a company files an S-1 registration statement with the SEC, it’s laying the groundwork to off....
New Report from the Small Business Forum Includes Recommendations to Improve Capital Raising
- Admin
- Oct 25, 2023
The Small Business Forum has recently released a new report that provides valuable insights and reco....
SEC Approves Revised Privacy Act Rule
- Admin
- Oct 22, 2023
The Securities and Exchange Commission (SEC) has recently approved a revised Privacy Act rule, signa....
Financing/IPO Transactions – September 2023
- Admin
- Oct 22, 2023
The IPO and financing transactions listing for the month of September 2023 can be found below. These....
Do I need to escheat shares and certificates for my company to the states?
- Admin
- Sep 25, 2023
Company leaders have a number of financial and administrative responsibilities, and escheatment ofte....
Are All Shareholder Payments Escheatable?
- Admin
- Sep 25, 2023
The financial responsibilities of issuers don’t end once they distribute payments to their shareho....
What is Escheatment and How Does it Apply to Issuers?
- Admin
- Sep 25, 2023
Escheatment is frequently overlooked but incredibly important in the financial world, including for ....
SEC Adopts Amendments to Exemption From National Securities Association Membership
- Admin
- Sep 18, 2023
The Securities and Exchange Commission (SEC) has recently approved amendments to the exemption from ....
SEC Enhances the Regulation of Private Fund Advisers
- Admin
- Sep 18, 2023
The Securities and Exchange Commission (SEC) has taken significant steps to enhance the regulation o....
Who is deemed an Affiliate?
- Admin
- Sep 14, 2023
When dealing with the requirements of the Securities Exchange Act of 1933, it's vital to understand ....
Financing/IPO Transactions – August 2023
- Admin
- Sep 14, 2023
The IPO and financing transactions listing for the month of August 2023 can be found below. These tr....
Financing/IPO Transactions – July 2023
- Admin
- Sep 14, 2023
The IPO and financing transactions listing for the month of July 2023 can be found below. These tran....
SEC Adopts Rules on Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure by Public Companies
- Admin
- Aug 07, 2023
The Securities and Exchange Commission (SEC) has taken a significant step forward in enhancing cyber....
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