Cap table management & personalized service since 1987.
801-355-5740
- Issuer Services
- Transfer Agent Services
- SEC Filing Services
- Employee Plan Services
- Blue Sky Compliance Services
- DTC Eligibility Services
- Proxy & Annual Meeting Services
- Consultation Services
- Press Release Services
- Corporate Action Services
- Free Guides
- Issuer Forms
- Issuer FAQ
- For Shareholders
- Blog
- About Us
- Contact Us
- Issuer Login
- Shareholder Login
- Vote Proxy
Category: Issuing securities
- Joshua Scofield
- Sep 04, 2019
In addition to federal and state corporate law, companies which trade on public markets are also subject to institutional regulation. In other words, your publicly-traded company must follow rules cre....
Learn More
Learn more about our cap table management and transfer agent services.
IPO Transactions
Media
Popular Top 10
- Transferring Ownership of Stock within an S Corporation
- Where do I get a Medallion Signature Guarantee?
- A Guide to Corporate Officers and Their Roles
- What is a Transfer Agent?
- How to Go Public through a Direct Public Offering (DPO) onto NASDAQ/NYSE
- Exceptions to Exchange Act Registration for Reg A and Reg CF Companies
- Reg A+ vs S-1 vs Reg D Offerings
- Top 10 Best Crowdfunding Platforms for Reg A+
- Routine Vs Non-routine Proxy Proposals
- Up-listing from an OTC to a National Exchange
Categories
- 15c2-11 Application
- Accountability
- Accredited Investor
- Accredited Investors
- American Investors
- Angel Investors
- Anheuser-Busch
- Annual Meeting
- Annual Reports
- Audit Quality
- Authorized Shares
- Bad Actors
- Bank loans
- BHC Act
- BitClave
- Blockchain
- Blockchain Technology
- Blue Sky Compliance
- Blue Sky Exemptions
- Blue Sky filing agent
- Blue Sky Filing Fees
- Blue Sky Laws
- Board of Directors
- Bookkeeping Software
- Broker-Dealers
- Business Ideas
- Business Management
- Calculators
- Cap Table
- Cap Table Management
- Capital Formation
- Capital Market
- Capital Raising
- Capitalization requirements
- CARES ACT
- Cash Flow
- CEO
- CFO
- CFTC
- CFTF
- Colonial Filings
- Colonial Stock Transfer
- Compliance
- Compliance management
- Compliance Strategies
- Congress
- Convertible Equity
- Corporate Action
- Corporate Dynamics
- Corporate Governance
- Corporate Law
- Corporate segments
- Corporate Tax
- Corporate Transparency Act
- COVID-19
- Crowdfunding
- Crypto Assets
- Cryptocurrency
- cryptocurrency market
- CUSIP Number
- Customer support
- Customized Report
- Cybersecurity
- Cybersecurity Disclosure
- D&O Insurance
- Data Accuracy
- Data Protection
- Deadline
- Defense strategies
- Delaware Corporate Law Amendments
- Delaware Corporations
- Dematerialization
- Department of Justice
- Depository Trust Company (DTC)
- Digital asset securities
- digital assets
- Dilution
- Direct listings
- Direct Public Offering (DPO)
- Director duties
- Disclosure requirements
- Disclosure Requirements 2024
- Discount Rate Calculator
- Discounted Cash Flows
- Dividend Discount Model
- Dividends
- Dodd Frank Act
- Dodd-Frank Act
- Dormant Assets
- DTC Chill
- DTC Eligibility
- DTC Global Locks
- DTCC
- Due Diligence
- Durbin Amendment
- DVR Stock
- Economic Growth
- EDGAR
- EDGAR Filings
- Electronic voting
- Eligibility Requirements
- Eligibility restrictions
- Emerging Growth Companies
- employee stock purchase plan
- Enforcement restrictions
- Enhanced Disclosures
- Entrepreneur support
- Entrepreneurship
- Equity Capitalization
- Equity Compensation
- Equity Crowfunding
- Equity Instruments
- Equity Tracking Software
- Escheatment
- ESG
- ESG Principles
- ESOP
- ESPP
- espp stock
- espp tax
- Exchange Rules
- Executive compensations
- Favourite CEOs
- Federal Law
- Federal Preemption
- Filing requirements
- Financial Catalyst
- Financial Choice Act
- Financial Crimes
- Financial filings
- Financial Industry
- Financial Law
- Financial Market Utilities (FMUs)
- Financial markets
- Financial Planner
- Financial Providers
- Financial Regulations
- Financial Reporting
- Financial Rules
- Financial Statements
- Financial Transparency
- FinCEN
- FINRA
- FINRA Approval
- FINRA Compliance
- FINRA Rule 6490
- FinTech
- FlashFunders
- Foreign Jurisdiction
- Form 1-A
- Form 10-K
- Form 8-K
- Form ATS
- Form C
- Form D
- Form F-1
- Form S-1
- Form S-8
- Fraudulent Activities
- Fund raising
- Funding Portals
- Future Cash Flows
- GAAP
- Going Public
- H.R. 1675
- H.R. 2187
- H.R. 2357
- H.R. 3784
- H.R. 4850
- H.R. 4852
- HFCA Act
- House Financial Services Committee
- IEX
- Independent review
- Industrial Applications
- Initial Coin Offerings
- Initial Public Offering
- Insider Trading
- Insider trading regulations
- Instituional Service
- Intermediary unit fees
- Intrastate Crowdfunding
- Intrastate Offering
- Investment capital
- Investment Eligibility
- Investor convergence
- Investor Credibility
- Investor Education
- Investor Protection
- Investors relation
- IPO
- IPO Process
- IPO Transaction Listing
- IRS Requirement
- Issuers
- Issuing securities
- JOBS Act
- JOBS Act and Crowdfunding
- JOBS Act IPO
- LAS
- LAS Form
- Leadership
- Legal Compliance
- Legal Fees
- Libra
- Listing of Additional Shares
- Market Capitalization
- Market Makers
- Market Prices
- Market speculations
- Market Transparency
- Medallion Signature
- MEMX
- Mergers And Acquisitions
- NASDAQ
- NASDAQ
- NASDAQ requirements
- National Stock Exchange
- Newswire
- NYSE
- NYSE
- NYSE MKT
- Office of Compliance Inspections and Examinations (OCIE)
- OTC Companies
- OTC Market
- OTC Markets
- OTC Pink
- OTC Pink Tier
- OTC stock transfer agent services
- OTCBB
- OTCQB
- OTCQB
- OTCQX
- PCAOB
- PCAOB Auditing
- PCAOB Rule
- Piggyback exception
- Political Debate
- Price Stabilization
- Privacy Act Rule
- Privacy rights
- Private Company
- Private Fund Reporting
- Private Offerings
- Problematic Provisions
- Proposed amendments
- Proprietary Trading
- Proxy
- Proxy Solicitation
- Proxy Statement
- Proxy Statement
- Proxy Voting
- Proxy Voting
- Public Company
- Public Corporation
- public offering
- Public Reporting
- Quality control
- Record-keeping
- Redemption Payments
- Regulation A
- Regulation A+
- Regulation CF
- Regulation D
- Regulation D Offerings
- Regulation S-K
- Regulation S-T
- Regulatory Agenda
- Regulatory Compliance
- Regulatory Landscape
- Regulatory Law
- Regulatory Requirements
- Regulatory technology
- Reporting Requirements
- Resisted equities
- Restricted Stock Unit
- Retail Investors
- Reverse Mergers
- Risk assessment
- Risk management
- Rule 10b-18
- Rule 10b-5
- Rule 10b5-1
- Rule 144
- Rule 144 Legal Opinions
- Rule 144 Opinion Letters
- Rule 147
- Rule 147A
- Rule 15c2-11
- Rule 504
- Rule 506
- Rule 5250
- Rule 5605(f)
- Rule100(b)
- S Corporation
- S-Corp Stock Transfer
- Safe Harbors
- Sarbanes-Oxley Act
- Sarbanes-Oxley Act of 2002
- Schedule 14A
- SEC
- SEC Advisory Committee
- SEC Amendments
- SEC Compliance
- Sec Cybersecurity Rules
- SEC Enforcement
- SEC Examinations
- SEC Guidance
- SEC Investor Alert
- SEC Proposed Rule
- SEC Proxy Rules
- SEC regulation
- SEC Regulations
- SEC Regulatory Enhancements
- SEC Relief
- SEC Rule 144
- SEC Rule 15c2-11
- Section 12(g)
- Securities Escheatment
- Securities Law
- Securities Recordkeeping
- Security Filings
- Security Token Transfer Agent
- Selecting a Transfer Agent
- Senate
- Senate Bill 175
- Settlement Cycles
- Share Issuance
- Share Ownership
- Shareholder approval
- Shareholder Communications
- Shareholder Engagement
- Shareholder Intent
- Shareholder Meetings
- Shareholder Payments
- Shareholder Proposals
- Shareholder Relationship
- Shareholder Support
- Shareholder votings
- Shareholders
- Shell Companies
- Side-A Coverage
- Side-B Coverage
- Side-C Coverage
- Side-D Coverage
- Small Business Capital Formation
- Small Businesses Challenges
- Smaller Reporting Company
- SPAC Scrutiny
- SPACs
- Spreadsheet Software
- Startup
- Startup Financing
- State of Incorporation
- State Regulations
- Stock Broker
- Stock Exchange
- Stock Exchanges
- Stock Market
- Stock Option
- Stock Option Software
- Stock Ownership
- Stock Prices
- Stock Resale
- Stock Transfer Agent
- Stock Valuation
- Strategic Plan
- T+1 settlement cycle
- T+2
- Tax deductions
- Tax Implications
- Tech Stocks
- Test The Waters
- The FAST Act
- The Financial CHOICE Act
- The Howey Test
- Time Warner
- Title III Crowdfunding
- Trading Platform
- Transfer Agent
- Transfer Agent Role in IPO
- TruCrowd
- U.S. House of Representatives
- U.S. Issuers
- Unclaimed Property
- Underwriters
- underwriting agreement
- Underwriting Process
- Uniform Law Commission
- Unregistered Offerings
- up-list
- Venture Capital
- Virtual AGM
- Virtual meetings
- Vitual Annual Shareholder Meeting
- Volcker Rule
- WACC
- XBRL (eXtensible Business Reporting Language)
- XBRL Filing Services
- XBRL Formatting
- XBRL Requirements