Category: Colonial Stock Transfer 2480

The Securities and Exchange Commission (SEC) has recently released important amendments to Rule 10b5-1, further refining insider trading regulations and offering more clarity to market participants. This move builds upon ongoing efforts to strengthen market integrity, ensuring fair and transparent securities trading for all part
Throughout the years, the SEC has been criticized for it its practice known as regulation by enforcement. Its practices have waxed and waned over the years, but more recently, the SEC has been more willing to regulate by enforcement. This has led to new regulations and rules, which market participants have noticed. Numerous advo
If you want to go public, you might be curious about how to do so. First, there are a lot of benefits to taking your company public. You can raise a lot of capital quickly, you can improve your debt to income ratio, and you can provide stock options for employees, which could help you attract the top talent in your field. Furthe
There are significant risks related to the clearance and settlement of certain securities. The Securities and Exchange Commission (SEC) has proposed certain rule changes to increase transparency and reduce the risk of these transactions. The new rule changes would shorten the standard settlement cycle for the vast majority of
If you are looking for a way to raise capital and increase the visibility of your company, you might be thinking about going public. There are multiple exchanges from which to choose, but one of the biggest options in the world is the NASDAQ. Even though many companies listed on the NASDAQ are tech companies, there are other ind
Through Rule 144, any small business owner, or investor, can sell their restricted stock, or securities, on the public stock market without registering them with the SEC. This legislation is important because it gives the investors and shareholders who have these securities the opportunity to resell their restricted securities
Benefit packages are crucial to attracting talented, high-level employees to a company. Basic things such as a 401(k), medical, and dental insurance are considered typical, so companies must do something to stand out and provide unmatched value. An Employee Stock Purchase Plan (ESPP) can help entice quality employees by offering
Changes to the SEC Rule 15c2-11 went into effect on September 28, 2021. The new rules address amended 15c2-11 application requirements, requirements for public disclosure of information before quoting a security, unsolicited quotes, and the expanded role of the OTC Markets Group.  See our previous articles about the exact requ
On September 23, 2020, the SEC adopted amendments to modernize its shareholder proposal rule, under the Exchange Act Rule 14a-8. The rule defines requirements for shareholder proposal inclusion in the proxy statement: The stake and tenure of the shareholder The subsequent resubmission procedure if the proposal is not app
On June 22, 2020, the Securities and Exchange Commission and the Antitrust Division of the Department of Justice signed an inter-agency MOU for enhancing competition in the securities industry. Assistant Attorney General Makan Delrahim of the Antitrust Division and the SEC Chairman Jay Clayton executed the historic Memorandum of
Investing in or organizing an Initial Coin Offering (ICO) may sound like a great idea, especially if you were not able to mint profits from Bitcoin and Ethereum but beware of the associated risks. ICO is risky both for buyers and organizers for various reasons. If this is not something you want to read, skip to the bottom sectio
In addition to Federal securities laws, states have their own securities regulations designed to protect investors which are referred to as Blue Sky Laws. Just like the SEC, states require securities to either be registered or exempted from registration before offering to investors of that state. Filings must be made by the i
In view of the current pandemic, the Securities and Exchange Commission has published guidelines for all market participants to provide aid with their annual shareholder meetings by encouraging “virtual” annual meetings and flexibility in rules for date and location of the meetings. Background Pursuant to federal securitie
At its most basic definition, a capitalization table, or "cap table" is a list of your companies securities. This list includes stock, warrants, convertible notes, and equity grants. While there is no standard format, a successful cap table should be able to tell you "who owns what". Some cap tables can be more complex by adding
Listing on NASDAQ or NYSE can be a ticket to new growth for many companies. However, it is difficult to meet the listing requirements for such large national exchanges. Many businesses find that they simply have no hope of premiering on such markets after their IPOs. For those companies, there are OTC markets. OTC markets are or