When dealing with the requirements of the Securities Exchange Act of 1933, it's vital to understand the definition of an affiliate. We'll look at what an affiliate is, as provided by the SEC under this act, and cover what you need to know.
Specifically, in this article, we will consider what an affiliate is within the Securit
Category: Regulation D 131
If you want to raise money for your business, there are several options available through a private offering. One example is SEC Regulation D Rule 506C. This rule was enacted in 2012, and it provides businesses with an opportunity to raise money from private investors without having to register. This rule also allows companies t
If you want to raise money for your business, there are several options available through a private offering. One example is SEC Regulation D Rule 506C. This rule was enacted in 2012, and it provides businesses with an opportunity to raise money from private investors without having to register. This rule also allows companies t
Hiring a stock transfer agent relieves your leadership team of the administrative burden of tracking and registering shareholders. Offloading the reporting, recordkeeping, and communications of stock transactions can give you peace of mind and help you reduce your SEC compliance risk. Keep reading to learn more about the import
On Nov. 2, 2020, the Securities and Exchange Commission (SEC) adopted amendments to the exempt offering framework under the Securities Act of 1933. The rules will benefit the investors, emerging companies, and more seasoned issuers by:
Simplifying the multilayer exempt offering framework.
Promoting capital formation
E
On March 4th, the SEC proposed a series of amendments to improve crowdfunding regulations and the exempt offering framework. The proposal is aiming to promote capital formation and expand investment opportunities. Whether its raising seed capital or on the path to an initial public offering, a majority of entrepreneurs and emerg
Regulation A+ (“Regulation A+”), also known as the “mini IPO”, is an alternative to the traditional IPO, through Form S-1, as filed to the Securities and Exchange Commission (“SEC”). Regulation A+ was passed into law to encourage small businesses to raise capital, by removing restrictions that limited access to priva
On October 26, 2016, the Securities and Exchange Commission adopted amendments to change Rule 147 and creating new Rule 147A. Additionally, amendments will be made to Rule 504 of Regulation D. These changes are intending to modernize how issuers can raise money to fund their businesses.
Amendment to Rule 504
Rule 504 of Regula
The House of Representatives passed the Accelerating Access to Capital Act on September 8th, 2016 by a vote of 236-178. This act was designed to help small companies gain access to capital, through three important pieces of legislation.
H.R. 2357: Accelerating Access to Capital
This act proposed that the SEC revise Form S-3