Cap table management & personalized service since 1987.
801-355-5740
Category: Compliance
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....
In the financial world, transfer agents are crucial for both public and private companies. They oversee the transfer of securities and maintain accurate shareholder records. Public company transfer ag....
Escheatment is frequently overlooked but incredibly important in the financial world, including for issuers. Escheatment refers to the legal process where unclaimed property or assets revert to the st....
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....
Meetings are an importation part of running an organization or a large project. At meetings, issues are addressed, important decisions made, and plans created for the future. In public companies, annu....
On February 7, 2018, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) announced its annual examination priorities for 2018. The OCIE desires to ensur....
In our contemporary society, software has been created for every imaginable need, both professionally and personally. There are programs for accountants, financial planners, engineers, architects, and....