The Securities and Exchange Commission (SEC) has recently approved amendments to the exemption from national securities association membership requirements. These changes aim to streamline the regulatory framework and provide relief to certain categories of broker-dealers. In this article, we will delve into the details of these
Category: Broker-Dealers 60
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 han
Under Regulation A Tier 2 of the Securities Act of 1933, companies in the early stages of growth now have access to more capital. They can raise up to $75 million from both non-accredited and accredited investors, do general solicitation, and issue free-trading shares. Through the Reg A SEC filing and offering, a company can