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Category: Public Company

SEC Small Business Capital Advisory Meeting Synopsis

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The Small Business Capital Advisory Committee held a meeting on February 2nd to discuss the Advocate for Small Business’s Capital Formation 2019 annual report, focusing on small business capital formation. The committee meeting was comprised of four panels; each of which had their own topic and key speakers. Panel I: Overview of Annual Report from
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A Guide to Corporate Officers and Their Roles

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In the US, it is typically required for publicly traded companies to have at least a few corporate officers. Some companies have dozens. It is also not uncommon for private or non-profit companies to create corporate officer positions. As with any job title, the duties assumed by a corporate officer at one firm may differ
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What is a Proxy Shareholder Meeting?

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Meetings are an importation part of running an organization or a large project. At meetings, issues are addressed, important decisions made, and plans created for the future. In public companies, annual meetings are held for the benefit of the owners in the company called Annual Shareholder Meetings. Annual Shareholder Meetings are a required assembly for owners
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Routine Vs Non-routine Proxy Proposals

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In the governance of any organization there must be a means to address issues, make changes, and set needed regulations. Public companies in the United States make major decisions about business and future strategies via proposals made at annual shareholder meetings. These proposals are akin to bills in the legislature of the United States government.
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Regulation A+ Available for SEC Reporting Companies

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On December 19, 2018, the SEC adopted final rules to allow current Exchange Act reporting companies to utilize Regulation A+, also known as the “mini-IPO offering”. Reg A+ provides an exemption from public registration, utilizing two separate offering tiers. Under Tier 1, companies can raise up to $20 million in a 12-month period, while Tier 2 allows issuers
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8 Tips on Selecting a Stock Transfer Agent

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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 private placement, company merger/acquisitions, processing stock splits, administering shareholder
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