Category: Capital Market

What Is Qualification Mean for a Reg A Filing and How Is It Different Than SEC Effectiveness?
What Is Qualification Mean for a Reg A Filing and How Is It Different Than SEC Effectiveness?
  • Admin
  • Nov 10, 2023
Qualification for a Regulation A (Reg A) filing is a critical step for companies seeking to raise capital through the sale of securities to the public without going through the rigour of a full-scale ....
SEC Releases Examination Priorities for 2019
SEC Releases Examination Priorities for 2019
  • Admin
  • Mar 08, 2019
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 ....
US Department of the Treasury Report on Capital Markets
US Department of the Treasury Report on Capital Markets
  • Dan Carter
  • Mar 09, 2017
President Trump issued executive order 13,772 on February 3, 2017, which aimed to regulate the U.S. financial system with a set of core principles. In response, the U.S. Department of the Treasury pre....

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