Category: Insider Trading

Financing/IPO Transactions  –  January 2024
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  • Feb 10, 2024
The IPO and financing transactions listing for the month of January 2024 can be found below. These transactions were filed to the SEC as S-1, F-1, and 1-A filings. The Form S-1 is the initial registra....
Review of the “Accredited Investor” Definition under the Dodd-Frank Act
  • Admin
  • Jan 15, 2024
The "Accredited Investor" definition, established under the Dodd-Frank Act, plays a significant role in determining eligibility for participation in certain investment opportunities. In this blog post....
Navigating New Disclosure Requirements in 2024
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  • Jan 13, 2024
As 2024 unfolds, businesses face a new set of disclosure requirements that bring both challenges and opportunities. These changes, spanning various aspects of corporate governance and financial report....
Financing/IPO Transactions  –  December 2023
  • Admin
  • Jan 12, 2024
The IPO and financing transactions listing for the month of December 2023 can be found below. These transactions were filed to the SEC as S-1, F-1, and 1-A filings. The Form S-1 is the initial registr....
Financing/IPO Transactions  –  November 2023
  • Admin
  • Dec 13, 2023
The IPO and financing transactions listing for the month of November 2023 can be found below. These transactions were filed to the SEC as S-1, F-1, and 1-A filings. The Form S-1 is the initial registr....
Financing/IPO Transactions  –  October 2023
  • Admin
  • Nov 10, 2023
The IPO and financing transactions listing for the month of October 2023 can be found below. These transactions were filed to the SEC as S-1, F-1, and 1-A filings. The Form S-1 is the initial registra....
Financing/IPO Transactions  –  September 2023
  • Admin
  • Oct 22, 2023
The IPO and financing transactions listing for the month of September 2023 can be found below. These transactions were filed to the SEC as S-1, F-1, and 1-A filings. The Form S-1 is the initial regist....
Financing/IPO Transactions  –  August 2023
  • Admin
  • Sep 14, 2023
The IPO and financing transactions listing for the month of August 2023 can be found below. These transactions were filed to the SEC as S-1, F-1, and 1-A filings. The Form S-1 is the initial registrat....
Financing/IPO Transactions  –  July 2023
  • Admin
  • Sep 14, 2023
The IPO and financing transactions listing for the month of July 2023 can be found below. These transactions were filed to the SEC as S-1, F-1, and 1-A filings. The Form S-1 is the initial registratio....
Financing/IPO Transactions  –  June 2023
  • Admin
  • Jul 08, 2023
The IPO and financing transactions listing for the month of June 2023 can be found below. These transactions were filed to the SEC as S-1, F-1, and 1-A filings. The Form S-1 is the initial registratio....
Financing/IPO Transactions  –  May 2023
  • Admin
  • Jun 08, 2023
The IPO and financing transactions listing for the month of May 2023 can be found below. These transactions were filed to the SEC as S-1, F-1, and 1-A filings. The Form S-1 is the initial registration....
SEC Adopts Amendments To Rule 10b5-1 Insider Trading Plans
  • Admin
  • Feb 15, 2023
Insider trading has been one of the major focuses of the Securities and Exchange Commission (SEC) for a long time, and the SEC recently announced that it has adopted amendments to Rule 10b5-1. This ru....
Financing/IPO Transactions  –  February 2022
  • Admin
  • Mar 09, 2022
The IPO and financing transactions listing for the month of February 2022 can be found below. These transactions were filed to the SEC as S-1, F-1, and 1-A filings. The Form S-1 is the initial registr....
Financing/IPO Transactions  –  January 2022
  • Admin
  • Feb 09, 2022
The IPO and financing transactions listing for the month of January 2022 can be found below. These transactions were filed to the SEC as S-1, F-1, and 1-A filings. The Form S-1 is the initial registra....
The SEC Releases it Annual Regulatory and Deregulatory Agenda
  • Admin
  • Jul 23, 2021
The Securities and Exchange Commission (SEC) recently announced its Spring 2021 Unified Agenda of Regulatory and Deregulatory Actions, which summarises topics financial regulatory agencies will be add....