Category: SEC Enforcement

SEC Proposes Revision To The Privacy Act
  • Admin
  • May 16, 2023
On February 14, 2023, the SEC proposed significant revisions to the Privacy Act, which governs the handling of personal information within the federal government. These proposed changes aim to streaml....
Regulation By Enforcement
  • Admin
  • Mar 31, 2022
Throughout the years, the SEC has been criticized for it its practice known as regulation by enforcement. Its practices have waxed and waned over the years, but more recently, the SEC has been more wi....
SEC Announces Enforcement Task Force Focused on Climate and ESG Issues
  • Admin
  • Apr 27, 2021
On March 4, 2021, the SEC announced a new Task Force in the Division of Enforcement. The 22-member team led by Kelly L. Gibson (the Acting Deputy Director of Enforcement) will focus on climate and env....
SEC Provides Guidance on Initial Coin Offerings
  • Dan Carter
  • Feb 25, 2019
Over the last few months, the Securities and Exchange Commission (SEC) announced settled charges against a few different companies that sold security tokens in initial coin offerings (ICOs). Since the....
EGA Allows SEC Reporting Companies to use Regulation A+
  • Shelby Wayment
  • Jun 20, 2018
President Trump signed the Economic Growth, Regulatory Relief and Consumer Protection Act into law on May 24, 2018. He remarked that this bill had reforms that “are critical to helping all Americans....
New SEC Draft Strategic Plan
  • Shelby Wayment
  • Jun 15, 2018
In June of 2018 the Securities and Exchange Commission (SEC) released a draft strategic plan that prioritized investors, innovation, and performance. The plan will guide the SEC’s actions and goals ....
New SEC Rules for Intrastate Crowdfunding
  • Dan Carter
  • Dec 12, 2016
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 c....
Proposed Amendments to the Investment Advisers Act Rules
  • Shelby Wayment
  • Aug 05, 2016
The SEC recently proposed several amendments to the Investment Advisers Act of 1940, commonly referred to as the “Advisers Act.” These amendments specifically focus on rule 203(l)-1 and rule 203(m....
SEC Implements FAST Act with Revisions to Forms S-1 and F-1
  • Shelby Wayment
  • Mar 15, 2016
The Fixing America’s Surface Transportation Act (FAST Act) was signed into law on December 4, 2015 by President Barrack Obama. The FAST Act contains many securities related bills which required SEC ....
SEC Adopts CEO Pay Ratio Disclosure
  • Dan Carter
  • Oct 13, 2015
On August 5, 2015, the Securities and Exchange Commission adopted the pay ratio disclosure rule that requires public companies to disclose the ratio of CEO compensation to the median compensation of e....
Proposed Rule on Executive Compensation and Performance
  • Dan Carter
  • May 21, 2015
Shareholders Can Gain a Better Understanding of Corporate Governance On April 29, 2015, the SEC proposed a ruling that would require corporations to disclose the relationship between executive pay an....
SEC Issues Final Rules on Regulation A+
  • Dan Carter
  • Apr 22, 2015
The SEC issued a final ruling for smaller companies looking to obtain funding from external investors, known as Regulation A+. These rules are a revised and expanded implementation of Regulation A of ....
SEC Launches Pilot Program for XBRL
  • Admin
  • Feb 19, 2015
Program Will Provide "Combined Data Sets" for Use by Investors and Analysts In December, the SEC announced the unveiling of a program that will allow investors and analysts to have an easier time ana....
Earnings Are Approaching
  • Admin
  • Apr 15, 2014
Save Time and Money This Press Release Season with Colonial Stock Transfer! Are you weary of paying overage fees and would rather have a flat rate? Would you like to reduce the costs of nationwide c....
SEC Issues Proposal on Crowdfunding
  • Admin
  • Feb 27, 2014
The Securities and Exchanges Commission (“SEC) has agreed to draft rules under the Jumpstart Our Business Startups (JOBS) Act to allow companies to offer and sell securities through crowdfunding. SE....
5 Tips for XBRL Compliance
  • Dan Carter
  • Jun 04, 2011
Currently, thousands of companies or their consultants are dealing with the burden of filing financials in XBRL (eXtensible Business Reporting Language) formats. We have several tips gathered from ....