Category: Financial Regulations

How to Get Listed Onto NASDAQ Through Reg A+ Offering
  • Admin
  • Jul 11, 2024
Regulation A (aka Reg A+) effectively allows smaller companies to access public capital without undergoing the traditional IPO process. It allows companies to offer shares to the general public, not j....
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 Shortens Settlement Cycle to T+1
  • Admin
  • May 30, 2024
The Securities and Exchange Commission (SEC) released a major update, changing the settlement cycle for U.S. securities transactions from two business days (T+2) to just one (T+1). This regulatory adj....
Understanding Section 12(g) of the Securities Exchange Act
  • Admin
  • Nov 14, 2023
Section 12(g) of the Securities Exchange Act is a pivotal regulation for companies close to becoming publicly traded entities. This section spells out specific thresholds that, when crossed, obligate ....
US Department of the Treasury Report on Capital Markets
  • Dan Carter
  • Mar 09, 2017
President Trump issued executive order 13,772 on February 3, 2017, which aimed to regulate the U.S. financial system with a set of core principles. In response, the U.S. Department of the Treasury pre....