Category: Disclosure requirements

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 Publishes Guidance On Rule 10b5-1 Amendments
  • Admin
  • Jul 14, 2023
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....
SEC Adopts CEO Pay Ratio Disclosure
  • Dan Carter
  • Oct 13, 2015
On August 5, 2015, the Securities and Exchange Commission adopted the pay ratio disclosure rule that requires public companies to disclose the ratio of CEO compensation to the median compensation of e....
OTCQB Proposed Standard Changes Allow Regulation A Listing
  • Dan Carter
  • Jun 22, 2015
Proposed Amendments Would Allow Regulation A Tier 2 Offerings for Listing on OTCQB The SEC's amendments to Regulation A of the Securities Exchange Act became effective on 6-19-2015. If all requiremen....