Category: Reporting Requirements 137

Section 12(g) of the Securities Exchange Act is a pivotal regulation for companies close to becoming publicly traded entities. This section spells out specific thresholds that, when crossed, obligate a company to register with the Securities and Exchange Commission (SEC).  Understanding the nuances of Section 12(g) is critic
The Securities and Exchange Commission (SEC) has taken significant steps to enhance the regulation of private fund advisers. With the adoption of new rules and amendments, the SEC aims to strengthen investor protection and promote transparency in the private fund industry. In this article, we will explore the key aspects of thes
Regulation A+, evolved from the 2012 Jobs Act and provides an exemption so that companies can offer shares to accredited and non-accredited ("Main Street") investors. This process is often called a mini-IPO due to its implications for small businesses seeking growth capital. [embed][/embed] Ther
In August of 2016, the SEC adopted the proposed amendments to the Investment Advisers Act, in addition to the investment adviser registration and reporting form, commonly known as Form ADV. These changes were designed to provide the public with additional information and disclosures, help investment advisers have more efficient
President Trump issued executive order 13,772 on February 3, 2017, which aimed to regulate the U.S. financial system with a set of core principles. In response, the U.S. Department of the Treasury prepared a report titled, “A Financial System That Creates Economic Opportunities: Capital Markets”, to identify all laws and reg