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Special Purpose Acquisition Companies (SPACs) dominated financial headlines in the first half of 2021 due to an unprecedented surge in popularity. “Over the past six months, the U.S. securities markets have seen an unprecedented surge in the use and popularity of Special Purpose Acquisition Companies (or SPACs)” wrote the SEC’s John Coates, Acting Director, Division of
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EDT
If you have been paying attention to the investing media in recent weeks, you have likely heard about MEMX.  Short for the Members Exchange, MEMX was founded by individuals who carefully listened to investors to promote a transparent and fair trading experience.  The exchange was officially founded in 2019.  MEMX received approval from the SEC to
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EDT
The Securities and Exchange Commission (SEC) recently announced its Spring 2021 Unified Agenda of Regulatory and Deregulatory Actions, which summarises topics financial regulatory agencies will be addressing in the coming months. “The SEC has a lot of regulatory work ahead of us,” said SEC Chair Gary Gensler. “I look forward collaborating with my fellow commissioners
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EDT
The IPO and financing transactions listing for the month of April 2021 can be found below. These transactions were filed to the SEC as S-1, F-1, and 1-A filings. The Form S-1 is the initial registration statement filing used by domestic companies to go public. The Form F-1 is a registration statement used by foreign
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EDT
On March 4, 2021, the SEC announced a new Task Force in the Division of Enforcement. The 22-member team led by Kelly L. Gibson (the Acting Deputy Director of Enforcement) will focus on climate and environmental, social, and governance (ESG) investing. Satyam Khanna, the Senior Policy Advisor, will advise the agency on ESG and related
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EDT
Companies planning on a registered public offering must acquire an “effective” registration statement or proper exemption from the SEC before offering their securities for sale. For such exempted securities (ie. Regulation D, Regulation A, Regulation CF), Section 12 of the Securities Exchange Act of 1934 (also known as the Exchange Act) requires companies to file
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EDT
The IPO and financing transactions listing for the month of March 2021 can be found below. These transactions were filed to the SEC as S-1, F-1, and 1-A filings. The Form S-1 is the initial registration statement filing used by domestic companies to go public. The Form F-1 is a registration statement used by foreign
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EDT
In September 2020, the SEC amended Rule 15c2-11 to enhance the OTC Market’s efficiency and facilitate capital formation for issuers. We published an article outlining all the details here. OTC Markets lists a significant 11,000 stocks not listed on national exchanges. The market caters to almost all kinds of industries and companies in all phases.
EDT
Let’s talk about going public onto the NYSE and Nasdaq markets. For many entrepreneurs, taking their company public is the ultimate dream and mark of success. Every company is considered to be private before going public with a smaller number of shareholders, and limited accredited investors. Companies going public have considerable benefits such as an
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EDT
The IPO and financing transactions listing for the month of February 2021 can be found below. These transactions were filed to the SEC as S-1, F-1, and 1-A filings. The Form S-1 is the initial registration statement filing used by domestic companies to go public. The Form F-1 is a registration statement used by foreign
EDT
On January 29, 2021, The Securities and Exchange Commission (SEC) Small Business Capital Formation Advisory Committee virtually hosted a public meeting that fixated on the experiences of smaller public companies and the Commission’s recent Securities Act Rule 701 and Form S-8 proposals. The committee meeting consisted of two sessions, one in the morning discussing the
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EDT
The IPO and financing transactions listing for the month of January 2021 can be found below. These transactions were filed to the SEC as S-1, F-1, and 1-A filings. The Form S-1 is the initial registration statement filing used by domestic companies to go public. The Form F-1 is a registration statement used by foreign
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EDT
On December 22, 2020, the SEC proposed amendments to Rule 144 to eliminate ‘tacking of’ the holding period of security and amend the filing requirements and the deadline to coincide with the Form 4 filing deadline. Under the proposed rule, the holding period for the “market-adjustable securities” acquired upon conversion or exchange will not begin
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EDT
This topic is an all-time favorite, and you will see almost everyone writing about their favorites in a different hierarchical order. Obviously, because of individual differences and halo effect, the choices and rankings differ as there is no well-defined formula for success. Even researchers that use specific metrics to assess the greatness of CEOs fail
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EDT
The IPO and financing transactions listing for the month of December 2020 can be found below. These transactions were filed to the SEC as S-1, F-1, and 1-A filings. The Form S-1 is the initial registration statement filing used by domestic companies to go public. The Form F-1 is a registration statement used by foreign
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EDT
The IPO and financing transactions listing for the month of November 2020 can be found below. These transactions were filed to the SEC as S-1, F-1, and 1-A filings. The Form S-1 is the initial registration statement filing used by domestic companies to go public. The Form F-1 is a registration statement used by foreign
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EDT
We have compiled a list of the duties required by the Board of Directors (BOD) of corporations for holding shareholder meetings by state. In the United States, the power to dictate corporate law is given to the state, rather than the federal government. Because of this, the codes to which public companies and corporations are
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EDT
The IPO and financing transactions listing for the month of October 2020 can be found below. These transactions were filed to the SEC as S-1, F-1, and 1-A filings. The Form S-1 is the initial registration statement filing used by domestic companies to go public. The Form F-1 is a registration statement used by foreign
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