Category: EDGAR Filings

SEC Issues Proposal to Reduce Risks in Clearance and Settlement
  • Admin
  • Feb 19, 2022
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....
SEC Proposes New Share Repurchase Disclosure Rules
  • Admin
  • Feb 15, 2022
There has been a significant amount of attention paid to market manipulation and insider trading during the past few years. Now, the SEC is proposing a new rule that targets a lot of these ongoing iss....
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....
SEC Commissioner Proposes “Safe Harbor” for Cryptocurrency Securities
  • Admin
  • Mar 25, 2020
On Feb. 6, 2020, Commissioner Hester M. Peirce proposed a safe harbor for security token offerings. This safe harbor will exempt cryptocurrency and blockchain from federal securities registration regu....
Proposal to Amend Rule 15c2-11 and De-listing of OTC Non-Reporting and Shell Companies
  • Dan Carter
  • Jan 31, 2020
The Securities and Exchange Commission recently released a sweeping proposal to amend Rule 15c2-11 and provide a pathway to de-list currently trading OTC securities that are delinquent in their financ....
Funding Portal Guide for Title III Equity Crowdfunding
  • Dan Carter
  • May 03, 2016
In order to operate, a crowdfunding service intermediary is required to register with the Securities and Exchange Commission (SEC) either as a broker or funding portal. Funding portals are designed to....
The Benefits of Stock Transfer Services
  • Admin
  • Jan 08, 2016
What is a Stock Transfer Agent? When companies issue stocks, they must track transactions and keep accurate and up-to-date shareholder records. It can be very difficult to keep these records, maintai....
Impact of the XBRL Limited Liability Clause Expiration
  • Dan Carter
  • Mar 03, 2015
Since October 2014, XBRL exhibits submitted by public companies have carried the same liability provisions as HTML filings under the anti-fraud provisions of the Securities Law. Rule 406T by the SEC r....
SEC Launches Pilot Program for XBRL
  • Admin
  • Feb 19, 2015
Program Will Provide "Combined Data Sets" for Use by Investors and Analysts In December, the SEC announced the unveiling of a program that will allow investors and analysts to have an easier time ana....