Cap table management & personalized service since 1987.
801-355-5740
- Issuer Services
- Transfer Agent Services
- SEC Filing Services
- Employee Plan Services
- Blue Sky Compliance Services
- DTC Eligibility Services
- Proxy & Annual Meeting Services
- Consultation Services
- Press Release Services
- Corporate Action Services
- Free Guides
- Issuer Forms
- Issuer FAQ
- For Shareholders
- Blog
- About Us
- Contact Us
- Issuer Login
- Shareholder Login
- Vote Proxy
Category: Compliance management
- Admin
- May 31, 2024
The FINRA 15c211 filing is a crucial process for market makers who wish to quote an unlisted security in the United States. This regulation is governed by the Financial Industry Regulatory Authority (....
- Admin
- Oct 05, 2021
The heads of successful Nasdaq companies have put in the work necessary to transition from a privately held company into one that is publicly held. Though going public partially cedes control over t....
Learn More
Learn more about our cap table management and transfer agent services.
IPO Transactions
Media
Popular Top 10
- Transferring Ownership of Stock within an S Corporation
- Where do I get a Medallion Signature Guarantee?
- A Guide to Corporate Officers and Their Roles
- What is a Transfer Agent?
- How to Go Public through a Direct Public Offering (DPO) onto NASDAQ/NYSE
- SEC Exchange Act Reporting Requirements and Exemptions for Crowdfunding Companies
- Reg A+ vs S-1 vs Reg D Offerings
- Top 10 Best Crowdfunding Platforms for Reg A+
- Routine Vs Non-routine Proxy Proposals
- Up-listing from an OTC to a National Exchange
Categories
- 15c2-11 Application
- Accountability
- Accredited Investor
- Accredited Investors
- American Investors
- Angel Investors
- Anheuser-Busch
- Annual Meeting
- Annual Reports
- Audit Quality
- Authorized Shares
- Bad Actors
- Bank loans
- BHC Act
- BitClave
- Blockchain
- Blockchain Technology
- Blue Sky Compliance
- Blue Sky Exemptions
- Blue Sky filing agent
- Blue Sky Filing Fees
- Blue Sky Laws
- Board of Directors
- Bookkeeping Software
- Broker-Dealers
- Business Ideas
- Business Management
- Calculators
- Cap Table
- Cap Table Management
- Capital Formation
- Capital Market
- Capital Raising
- Capitalization requirements
- CARES ACT
- Cash Flow
- CEO
- CFO
- CFTC
- CFTF
- Colonial Filings
- Colonial Stock Transfer
- Compliance
- Compliance management
- Compliance Strategies
- Congress
- Convertible Equity
- Corporate Action
- Corporate Dynamics
- Corporate Governance
- Corporate Law
- Corporate segments
- Corporate Tax
- Corporate Transparency Act
- COVID-19
- Crowdfunding
- Crypto Assets
- Cryptocurrency
- cryptocurrency market
- CUSIP Number
- Customer support
- Customized Report
- Cybersecurity
- Cybersecurity Disclosure
- D&O Insurance
- Data Accuracy
- Data Protection
- Deadline
- Defense strategies
- Delaware Corporate Law Amendments
- Delaware Corporations
- Dematerialization
- Department of Justice
- Depository Trust Company (DTC)
- Digital asset securities
- digital assets
- Dilution
- Direct listings
- Direct Public Offering (DPO)
- Director duties
- Disclosure requirements
- Disclosure Requirements 2024
- Discount Rate Calculator
- Discounted Cash Flows
- Dividend Discount Model
- Dividends
- Dodd Frank Act
- Dodd-Frank Act
- Dormant Assets
- DTC Chill
- DTC Eligibility
- DTC Global Locks
- DTCC
- Due Diligence
- Durbin Amendment
- DVR Stock
- Economic Growth
- EDGAR
- EDGAR Filings
- Electronic voting
- Eligibility Requirements
- Eligibility restrictions
- Emerging Growth Companies
- employee stock purchase plan
- Enforcement restrictions
- Enhanced Disclosures
- Entrepreneur support
- Entrepreneurship
- Equity Capitalization
- Equity Compensation
- Equity Crowfunding
- Equity Instruments
- Equity Tracking Software
- Escheatment
- ESG
- ESG Principles
- ESOP
- ESPP
- espp stock
- espp tax
- Exchange Rules
- Executive compensations
- Favourite CEOs
- Federal Law
- Federal Preemption
- Filing requirements
- Financial Catalyst
- Financial Choice Act
- Financial Crimes
- Financial filings
- Financial Industry
- Financial Law
- Financial Market Utilities (FMUs)
- Financial markets
- Financial Planner
- Financial Providers
- Financial Regulations
- Financial Reporting
- Financial Rules
- Financial Statements
- Financial Transparency
- FinCEN
- FINRA
- FINRA Approval
- FINRA Compliance
- FINRA Rule 6490
- FinTech
- FlashFunders
- Foreign Jurisdiction
- Form 1-A
- Form 10-K
- Form 8-K
- Form ATS
- Form C
- Form D
- Form F-1
- Form S-1
- Form S-8
- Fraudulent Activities
- Fund raising
- Funding Portals
- Future Cash Flows
- GAAP
- Going Public
- H.R. 1675
- H.R. 2187
- H.R. 2357
- H.R. 3784
- H.R. 4850
- H.R. 4852
- HFCA Act
- House Financial Services Committee
- IEX
- Independent review
- Industrial Applications
- Initial Coin Offerings
- Initial Public Offering
- Insider Trading
- Insider trading regulations
- Instituional Service
- Intermediary unit fees
- Intrastate Crowdfunding
- Intrastate Offering
- Investment capital
- Investment Eligibility
- Investment trends
- Investor convergence
- Investor Credibility
- Investor Education
- Investor Protection
- Investors relation
- IPO
- IPO Process
- IPO Transaction Listing
- IRS Requirement
- Issuers
- Issuing securities
- JOBS Act
- JOBS Act and Crowdfunding
- JOBS Act IPO
- LAS
- LAS Form
- Leadership
- Legal Compliance
- Legal Fees
- Libra
- Listing of Additional Shares
- Market Capitalization
- Market Conditions
- Market Insights
- Market Makers
- Market Prices
- Market speculations
- Market Transparency
- Medallion Signature
- MEMX
- Mergers And Acquisitions
- Mutual Funds
- NASDAQ
- NASDAQ
- NASDAQ requirements
- National Stock Exchange
- Newswire
- NYSE
- NYSE
- NYSE MKT
- Office of Compliance Inspections and Examinations (OCIE)
- OTC Companies
- OTC Market
- OTC Markets
- OTC Pink
- OTC Pink Tier
- OTC stock transfer agent services
- OTCBB
- OTCQB
- OTCQB
- OTCQX
- Passive management
- PCAOB
- PCAOB Auditing
- PCAOB Rule
- Piggyback exception
- Political Debate
- Price Stabilization
- Privacy Act Rule
- Privacy rights
- Private Company
- Private Fund Reporting
- Private Offerings
- Problematic Provisions
- Proposed amendments
- Proprietary Trading
- Proxy
- Proxy Solicitation
- Proxy Statement
- Proxy Statement
- Proxy Voting
- Proxy Voting
- Public Company
- Public Corporation
- public offering
- Public Reporting
- Quality control
- Record-keeping
- Redemption Payments
- Regulation A
- Regulation A+
- Regulation CF
- Regulation D
- Regulation D Offerings
- Regulation S-K
- Regulation S-T
- Regulatory Agenda
- Regulatory Compliance
- Regulatory Landscape
- Regulatory Law
- Regulatory reporting
- Regulatory Requirements
- Regulatory technology
- Reporting Requirements
- Resisted equities
- Restricted Stock Unit
- Retail Investors
- Reverse Mergers
- Risk assessment
- Risk management
- Rule 10b-18
- Rule 10b-5
- Rule 10b5-1
- Rule 144
- Rule 144 Legal Opinions
- Rule 144 Opinion Letters
- Rule 147
- Rule 147A
- Rule 15c2-11
- Rule 504
- Rule 506
- Rule 5250
- Rule 5605(f)
- Rule100(b)
- S Corporation
- S-Corp Stock Transfer
- Safe Harbors
- Sarbanes-Oxley Act
- Sarbanes-Oxley Act of 2002
- Schedule 14A
- SEC
- SEC Advisory Committee
- SEC Amendments
- SEC Compliance
- Sec Cybersecurity Rules
- SEC Enforcement
- SEC Examinations
- SEC Guidance
- SEC Investor Alert
- SEC Proposed Rule
- SEC Proxy Rules
- SEC regulation
- SEC Regulations
- SEC Regulatory Enhancements
- SEC Relief
- SEC Rule 144
- SEC Rule 15c2-11
- Section 12(g)
- Securities Escheatment
- Securities Law
- Securities Recordkeeping
- Security Filings
- Security Token Transfer Agent
- Selecting a Transfer Agent
- Senate
- Senate Bill 175
- Settlement Cycles
- Share Issuance
- Share Ownership
- Shareholder approval
- Shareholder Communications
- Shareholder Engagement
- Shareholder Intent
- Shareholder Meetings
- Shareholder Payments
- Shareholder Proposals
- Shareholder Relationship
- Shareholder Support
- Shareholder votings
- Shareholders
- Shell Companies
- Side-A Coverage
- Side-B Coverage
- Side-C Coverage
- Side-D Coverage
- Small Business Capital Formation
- Small Businesses Challenges
- Smaller Reporting Company
- SPAC Scrutiny
- SPACs
- Spreadsheet Software
- Startup
- Startup Financing
- State of Incorporation
- State Regulations
- Stock Broker
- Stock Exchange
- Stock Exchanges
- Stock Market
- Stock Option
- Stock Option Software
- Stock Ownership
- Stock Prices
- Stock Resale
- Stock Transfer Agent
- Stock Valuation
- Strategic Plan
- T+1
- T+1 settlement cycle
- T+2
- Tax deductions
- Tax Implications
- Tech Stocks
- Test The Waters
- The FAST Act
- The Financial CHOICE Act
- The Howey Test
- Time Warner
- Title III Crowdfunding
- Trading Platform
- Transfer Agent
- Transfer Agent Role in IPO
- TruCrowd
- U.S. House of Representatives
- U.S. Issuers
- Uncategorized
- Unclaimed Property
- Underwriters
- underwriting agreement
- Underwriting Process
- Uniform Law Commission
- Unregistered Offerings
- up-list
- Venture Capital
- Virtual AGM
- Virtual meetings
- Vitual Annual Shareholder Meeting
- Volcker Rule
- WACC
- XBRL (eXtensible Business Reporting Language)
- XBRL Filing Services
- XBRL Formatting
- XBRL Requirements