Blog

Shaping the Future of Shareholder Meetings: A Tug of War Between Political Parties
  • Admin
  • Jul 25, 2023
The landscape of shareholder meetings and corporate governance is evolving rapidly, driven by an ong....
SEC Publishes Guidance On Rule 10b5-1 Amendments
  • Admin
  • Jul 14, 2023
The Securities and Exchange Commission (SEC) has recently released important amendments to Rule 10b5....
FINRA Grants OTC Markets Permission to Trade Digital Securities: What It Means for Investors and Investor Protection
  • Admin
  • Jul 14, 2023
As regulatory pressures increase in the crypto industry, over-the-counter (OTC) markets are adapting....
Financing/IPO Transactions  –  June 2023
  • Admin
  • Jul 08, 2023
The IPO and financing transactions listing for the month of June 2023 can be found below. These tran....
What is a Cap Table and How to Create One
  • Admin
  • Jun 21, 2023
What Does a Cap Table Show? A cap table shows what is known as equity capitalization. Equity capita....
Financing/IPO Transactions  –  May 2023
  • Admin
  • Jun 08, 2023
The IPO and financing transactions listing for the month of May 2023 can be found below. These trans....
SEC Proposes Revision To The Privacy Act
  • Admin
  • May 16, 2023
On February 14, 2023, the SEC proposed significant revisions to the Privacy Act, which governs the h....
An Overview of Upcoming Changes To FINRA’S Corporate Action Notification Process
  • Admin
  • May 16, 2023
Financial institutions and other clients who need to comply with the Financial Industry Regulatory A....
Financing/IPO Transactions – April 2023
  • Admin
  • May 15, 2023
The IPO and financing transactions listing for the month of April 2023 can be found below. These tra....
SEC Issues Additional C&DI On Use Of Non-GAAP Measures
  • Admin
  • May 09, 2023
As the SEC continues to focus on how public companies use non-GAAP measures, they have issued update....
SEC Issues Additional Guidance Through New C&DI On The Use Of Universal Proxy Cards
  • Admin
  • Apr 12, 2023
Recently, the Securities and Exchange Commission (SEC) adopted new, final rules that provide new gui....
Financing/IPO Transactions  –  March 2023
  • Admin
  • Mar 30, 2023
The IPO and financing transactions listing for the month of March 2023 can be found below. These tra....
SEC Finalizes Rules to Reduce Risks in Clearance and Settlement
  • Admin
  • Mar 20, 2023
The Securities and Exchange Commission (SEC) has been working to enhance protections for investors a....
Regulation D 506 Offering Requirements
  • Admin
  • Mar 15, 2023
If you want to raise money for your business, there are several options available through a private ....
SEC Regulation CF Offering Requirements
  • Admin
  • Mar 11, 2023
Companies need to raise capital from time to time, and there are several ways they can do so. One of....
SEC Regulation A+ Offering Requirements
  • Admin
  • Mar 11, 2023
If you would like to raise money by offering securities for sale to specific investors, you need to ....
What Is SEC Regulation D 506C, and What Are the Requirements?
  • Admin
  • Mar 11, 2023
If you want to raise money for your business, there are several options available through a private ....
The Costs of Doing a Regulation Crowdfunding Offering: A List of Expenses
  • Admin
  • Mar 01, 2023
Raising capital is a necessity for companies across all industries, but there is always a cost assoc....
Financing/IPO Transactions  –  February 2023
  • Admin
  • Feb 26, 2023
The IPO and financing transactions listing for the month of February 2023 can be found below. These ....
Stock Transfer Agent vs Stock Broker – What are the Differences
  • Admin
  • Feb 23, 2023
Where Can You Find Transfer Agents? In addition to the differences in the services they offer, tran....
SEC Adopts Amendments To Rule 10b5-1 Insider Trading Plans
  • Admin
  • Feb 15, 2023
Insider trading has been one of the major focuses of the Securities and Exchange Commission (SEC) fo....
Discount Rate Calculator Using WACC Formula
  • Admin
  • Feb 02, 2023
WACC is an acronym short for the weighted average cost of capital.  The WACC across a period of fiv....
Financing/IPO Transactions  –  January 2023
  • Admin
  • Jan 24, 2023
The IPO and financing transactions listing for the month of January 2023 can be found below. These t....
Compliance Deadlines For Nasdaq Board Diversity Rules
  • Admin
  • Jan 13, 2023
Nasdaq's Diversity Proposal is making headlines as it promotes board diversity and gender equity. Th....
Financing/IPO Transactions  –  December 2022
  • Admin
  • Jan 13, 2023
The IPO and financing transactions listing for the month of December 2022 can be found below. These ....
What states require Issuer Dealer and Issuer Agent forms for Regulation A Tier 2 Offerings?
  • Admin
  • Jan 05, 2023
Regulation A Tier 2 is a great tool for small companies to raise capital. However, depending on the ....
The Top Benefits of Using Issuer Dealer Registrations Instead of Using a Broker Dealer on Regulation A offerings
  • Admin
  • Jan 05, 2023
Under Regulation A Tier 2 of the Securities Act of 1933, companies in the early stages of growth now....
Proposed Rules On Cybersecurity Disclosure
  • Admin
  • Dec 24, 2022
Since the birth of the internet, cybersecurity has been an important topic. Just as companies are wo....
Small-Cap IPO Volatility – The China Connection
  • Admin
  • Dec 22, 2022
China is one of the largest economic markets in the world, having grown significantly during the pas....
The SEC Drafts a Strategic Plan For Fiscal Years 2022 – 2026
  • Admin
  • Dec 12, 2022
Recently, the United States Securities and Exchange Commission (SEC) released a new plan for the fis....
Copy link
Powered by Social Snap