In the financial world, transfer agents are crucial for both public and private companies. They oversee the transfer of securities and maintain accurate shareholder records. Public company transfer agents must navigate a complex environment of regulations set forth by bodies like the Securities and Exchange Commission (SEC). The
Category: Private Company 215
The Direct Public Offering (DPO) was restructured by the SEC in 2015. Any company that conducts a DPO does not become publicly traded but can subsequently register to sell on a public market (NASDAQ, NYSE) or over the counter (OTC). NextSeed, a Texas-based financial technology company, raised $5.5 million in its DPO in 2016 unde
At its most basic definition, a capitalization table, or "cap table" is a list of your companies securities. This list includes stock, warrants, convertible notes, and equity grants. While there is no standard format, a successful cap table should be able to tell you "who owns what". Some cap tables can be more complex by adding
A transfer agent is a company or financial institution that helps manage securities recordkeeping duties for private and public entities. Transfer agents perform many functions, including but not limited to: ensuring compliance with the Securities and Exchange Commission (SEC) following an initial public offering (IPO) or privat
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, maintain regulatory compliance, and ensure everything is done in the most efficient and accurate manner. Thus, many businesses turn to st