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Financing/IPO Transactions  –  May 2024
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  • Jun 05, 2024
The IPO and financing transactions listing for the month of May 2024 can be found below. These trans....
How Does a FINRA 15c211 Filing Work?
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  • May 31, 2024
The FINRA 15c211 filing is a crucial process for market makers who wish to quote an unlisted securit....
How to Conduct a Direct Public Offering On an Exchange including Strategies
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  • May 31, 2024
A Direct Public Offering (DPO) lets a company raise capital directly from the public without interme....
SEC Shortens Settlement Cycle to T+1
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  • May 30, 2024
The Securities and Exchange Commission (SEC) released a major update, changing the settlement cycle ....
Financing/IPO Transactions  –  April 2024
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  • May 12, 2024
The IPO and financing transactions listing for the month of April 2024 can be found below. These tra....
SEC Publishes New Fund Statistical Report
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  • May 12, 2024
The Securities and Exchange Commission (SEC) has recently released its latest statistical report on ....
Financing/IPO Transactions  –  March 2024
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  • May 12, 2024
The IPO and financing transactions listing for the month of March 2024 can be found below. These tra....
How to Get Listed onto OTC through Reg A+ Offering
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  • Apr 15, 2024
Gaining a listing on the Over-The-Counter (OTC) market through a Regulation A+ (Reg A+) offering is ....
Comparison of Equity Crowdfunding and Venture Capital Funding For Startups
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  • 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
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  • 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”
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  • Mar 21, 2024
The Securities and Exchange Commission (SEC) has taken a significant step in enhancing market integr....
Financing/IPO Transactions  –  February 2024
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  • 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
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  • Feb 26, 2024
Choosing the right funding source is pivotal for startups, impacting their growth, control, and futu....
Financing/IPO Transactions  –  January 2024
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  • 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
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  • Jan 15, 2024
The "Accredited Investor" definition, established under the Dodd-Frank Act, plays a significant role....
Navigating New Disclosure Requirements in 2024
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  • 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
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  • Jan 13, 2024
The FinCEN Corporate Transparency Act (CTA) marks a significant shift in the regulatory landscape fo....
Financing/IPO Transactions  –  December 2023
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  • 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
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  • 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
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  • 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?
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  • 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?
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  • 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
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  • 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
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  • 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?
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  • 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?
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  • 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
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  • 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
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  • Oct 22, 2023
The Securities and Exchange Commission (SEC) has recently approved a revised Privacy Act rule, signa....
Financing/IPO Transactions  –  September 2023
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  • 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?
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  • Sep 25, 2023
Company leaders have a number of financial and administrative responsibilities, and escheatment ofte....