Recently, the Securities and Exchange Commission (SEC) adopted new, final rules that provide new guidance for parties during a contested election. Now, the SEC requires all parties to use universal proxy cards that include all of the director nominees at an election during a shareholder meeting. While the new rules were proposed in 2016, no activity
The Securities and Exchange Commission (SEC) has been working to enhance protections for investors and improve the operations of capital markets, and it recently announced that it had adopted rules to reduce risks and clearance and settlement. These changes will have an impact on most broker-dealer transactions, the processing of institutional trades, and recordkeeping requirements
If you want to raise money for your business, there are several options available through a private offering. One example is SEC Regulation D Rule 506C. This rule was enacted in 2012, and it provides businesses with an opportunity to raise money from private investors without having to register. This rule also allows companies to
Companies need to raise capital from time to time, and there are several ways they can do so. One of the most popular options today is called Regulation Crowdfunding, which is usually shortened to Reg CF. How does Regulation Crowdfunding work, and what are some of the main advantages? Take a look at a few important
If you would like to raise money by offering securities for sale to specific investors, you need to register with the Securities and Exchange Commission, also known as SEC. One of the ways to make this process easier is through Regulation A, which was instituted under the Securities Act of 1933. Companies that are eligible for
If you want to raise money for your business, there are several options available through a private offering. One example is SEC Regulation D Rule 506C. This rule was enacted in 2012, and it provides businesses with an opportunity to raise money from private investors without having to register. This rule also allows companies to
Raising capital is a necessity for companies across all industries, but there is always a cost associated with the fundraising process. There are multiple fundraising options available, but Regulation Crowdfunding, usually shortened to Reg CF, has become more popular during the past few years. What is Reg CF, and what are the costs associated with
Where Can You Find Transfer Agents? In addition to the differences in the services they offer, transfer agents may also be located in different places. Transfer agents are often specialized, independent institutions but can sometimes be banks, brokers, and other financial institutions. Most publicly traded companies that handle high volumes of transactions have a relationship
Insider trading has been one of the major focuses of the Securities and Exchange Commission (SEC) for a long time, and the SEC recently announced that it has adopted amendments to Rule 10b5-1. This rule is found under the Securities and Exchange Act of 1934, and the goal of the amendments to rule Rule 10b5-1
Nasdaq’s Diversity Proposal is making headlines as it promotes board diversity and gender equity. The proposal aims to create an environment of equal representation where all voices are heard, and decisions made with the benefit of diverse perspectives and experiences. Under the proposed rule, Nasdaq-listed companies must have at least two diverse directors on their