Category: Colonial Filings 109

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 o
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 points below
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
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 is to increase the d