Category: Compliance

How Does a FINRA 15c211 Filing Work?
  • 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 (....
SEC Expands Oversight with New Rules for Market Participants Acting as “Dealers” or “Government Securities Dealers”
  • Admin
  • Mar 21, 2024
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....
What Is a Public Company Transfer Agent vs a Private Company Transfer Agent?
  • Admin
  • Nov 15, 2023
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....
What is Escheatment and How Does it Apply to Issuers?
  • Admin
  • Sep 25, 2023
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....
SEC Adopts Final Rule to Amend 15c2-11 and Listing Standards for OTC Non-Reporting and Shell Companies
  • Admin
  • Sep 22, 2020
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....
What is a Proxy Shareholder Meeting?
  • Michael Segura
  • Jul 17, 2019
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....
Five Examination Priorities of The SEC Office of Compliance Inspections and Examinations
  • Eric Mellmer
  • Mar 13, 2018
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....
User Friendly Stock Option Software That Produces Exceptional Results
  • Admin
  • Jun 08, 2017
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....