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Category: Reporting Requirements
The FinCEN Corporate Transparency Act (CTA) marks a significant shift in the regulatory landscape for private companies in the United States. Implemented to combat financial crimes and enhance corpora....
Section 12(g) of the Securities Exchange Act is a pivotal regulation for companies close to becoming publicly traded entities. This section spells out specific thresholds that, when crossed, obligate ....
The Securities and Exchange Commission (SEC) has taken significant steps to enhance the regulation of private fund advisers. With the adoption of new rules and amendments, the SEC aims to strengthen i....
Cyber security is one of the biggest issues in the financial world, and the SEC is announcing potential rule changes that are designed to increase the transparency of disclosures related to cyber secu....
Regulation A+, evolved from the 2012 Jobs Act and provides an exemption so that companies can offer shares to accredited and non-accredited ("Main Street") investors. This process is often called a mi....
In August of 2016, the SEC adopted the proposed amendments to the Investment Advisers Act, in addition to the investment adviser registration and reporting form, commonly known as Form ADV. These chan....
President Trump issued executive order 13,772 on February 3, 2017, which aimed to regulate the U.S. financial system with a set of core principles. In response, the U.S. Department of the Treasury pre....