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Category: Financial Regulations
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....
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 (....
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....
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 ....
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....