Category: Colonial Filings

SEC Issues Additional Guidance Through New C&DI On The Use Of Universal Proxy Cards
  • Admin
  • Apr 12, 2023
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 pr....
SEC Finalizes Rules to Reduce Risks in Clearance and Settlement
  • Admin
  • Mar 20, 2023
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....
SEC Regulation CF Offering Requirements
  • Admin
  • Mar 11, 2023
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....
The Costs of Doing a Regulation Crowdfunding Offering: A List of Expenses
  • Admin
  • Mar 01, 2023
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....
Stock Transfer Agent vs Stock Broker – What are the Differences
  • Admin
  • Feb 23, 2023
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, independ....
SEC Adopts Amendments To Rule 10b5-1 Insider Trading Plans
  • Admin
  • Feb 15, 2023
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 ru....