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EDT
Meetings are an importation part of running an organization or a large project. At meetings, issues are addressed, important decisions made, and plans created for the future. In public companies, annual meetings are held for the benefit of the owners in the company called Annual Shareholder Meetings. Annual Shareholder Meetings are a required assembly for owners […]
EDT
In the governance of any organization there must be a means to address issues, make changes, and set needed regulations. Public companies in the United States make major decisions about business and future strategies via proposals made at annual shareholder meetings. These proposals are akin to bills in the legislature of the United States government. […]
EDT
The SEC published a Framework for Investment Contract Analysis of Digital Assets on April 3, 2019. The analysis provides guidance for applying the Howey test to digital assets to determine if they are investment contracts or securities. The test was created in the 1946 U.S. Supreme Court case, SEC v. W.J. Howey Co.   The Howey test […]
EDT
Regulation A+ (“Regulation A+”), also known as the “mini IPO”, is an alternative to the traditional IPO, through Form S-1, as filed to the Securities and Exchange Commission (“SEC”). Regulation A+ was passed into law to encourage small businesses to raise capital, by removing restrictions that limited access to private investor funds. Regulation A+ became […]
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EDT
The Office of Compliance Inspections and Examinations (OCIE) of Securities and Exchange Commission (SEC) has revealed its examination priorities for the year 2019, on December 20, 2018. Every year OCIE publishes its examination priorities to emphasize its commitment to transparency, and promote it in the examination programs. The OCIE examination priorities are provided to give […]
EDT
Over the last few months, the Securities and Exchange Commission (SEC) announced settled charges against a few different companies that sold security tokens in initial coin offerings (ICOs). Since the ICO tokens were not registered or unregistered offerings, the companies violated section 5 of the Securities Exchange Act of 1934 (“Exchange Act”). SEC Settles Unregistered […]
EDT
On December 19, 2018, the SEC adopted final rules to allow current Exchange Act reporting companies to utilize Regulation A+, also known as the “mini-IPO offering”. Reg A+ provides an exemption from public registration, utilizing two separate offering tiers. Under Tier 1, companies can raise up to $20 million in a 12-month period, while Tier 2 allows issuers […]
EDT
Beginning January 19, 2019, OTC Markets will begin to require all U.S. OTCQB and OTCQX companies to give verified share data through the services of a transfer agent participating in their Transfer Agent Verified Shares Program. Through their program, transfer agents can provide regular and up-to-date information on a company’s authorized and outstanding shares. Transfer agents […]
EDT
We developed a comprehensive Equity Crowdfunding Chart Comparison below for all crowdfunding requirements that includes Reg A+ (Tier 1 and Tier 2), Reg D 506 C, and Reg CF. Our chart creates an easy-to-read visual representation of all the different requirements, so you can pick which form of crowdfunding works best for you. Requirements for […]
EDT
President Trump signed the Economic Growth, Regulatory Relief and Consumer Protection Act into law on May 24, 2018. He remarked that this bill had reforms that “are critical to helping all Americans thrive and to prosper.” The bill was first introduced by Senator Mike Crapo (R-ID). The bill contains six titles relating to: consumer access […]
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