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The Securities and Exchange Commission (SEC) has taken a significant step in enhancing market integrity and transparency by introducing two new rules that mandate market participants undertaking key l....
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. T....
As regulatory pressures increase in the crypto industry, over-the-counter (OTC) markets are adapting to new challenges and opportunities. In a significant development, the Financial Industry Regulator....
The Division of Examinations of the Securities and Exchange Commission (SEC) recently announced its areas of focus for 2022. The Division takes a risk-based approach to its examinations, typically foc....
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 wi....
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 t....
The SEC has proposed a variety of changes to the interactive data rule, and they are seeking feedback from people on how the change might impact their day-to-day operations.
In early March, the SEC....
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 r....
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 b....
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 importan....
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 someth....
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 quotin....
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....
On Sept. 16, 2020, the SEC adopted amendments to Exchange Act Rule 15c2-11 directing broker-dealers not to publish security quotations in the absence of issuer's current information, subject to certai....
On June 2, 2020, the Nasdaq Stock Market LLC filed a proposed rule change with the SEC to amend Rule IM-5101-1. The rule provides Nasdaq authority to deny or continue listing to a company but rules ou....
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. Assist....
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....
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 ....
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 “vir....
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....