Category: SEC regulation

SEC Adopts Amendments to Exemption From National Securities Association Membership
  • Admin
  • Sep 18, 2023
The Securities and Exchange Commission (SEC) has recently approved amendments to the exemption from national securities association membership requirements. These changes aim to streamline the regulat....
SEC Enhances the Regulation of Private Fund Advisers
  • Admin
  • Sep 18, 2023
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 i....
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....
SEC Issues Additional C&DI On Use Of Non-GAAP Measures
  • Admin
  • May 09, 2023
As the SEC continues to focus on how public companies use non-GAAP measures, they have issued updated Compliance & Disclosure Interpretations (C&DIs) regarding their usage. Non-GAAP financial ....
Regulation D 506 Offering Requirements
  • Admin
  • Mar 15, 2023
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 ....
What Is SEC Regulation D 506C, and What Are the Requirements?
  • Admin
  • Mar 11, 2023
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 ....
SEC Adopts Amendments To Rule 10b5-1 Insider Trading Plans
  • Admin
  • Feb 15, 2023
Insider trading has been one of the major focuses of the Securities and Exchange Commission (SEC) for a long time, and the SEC recently announced that it has adopted amendments to Rule 10b5-1. This ru....
The SEC Announces Spring 2022 Regulatory Agenda
  • Admin
  • Aug 03, 2022
The Securities and Exchange Commission (SEC) has already been busy this year, issuing several rule changes and amendments that have been available for public comment during various points throughout 2....
7 Danger Signs a Stock Might Be Getting De-Listed
  • Admin
  • Jun 02, 2022
For a company to be traded on any of the major stock exchanges, they need to apply for listing. If a company is accepted, then its shares will be listed for sale on the stock exchange. The process doe....
The Unseen Dangers of Not Having a Stock Transfer Agent
  • Admin
  • Oct 11, 2021
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....
Outrageous Proxy Meeting Fees and How They Could Impact You
  • Admin
  • Oct 05, 2021
It is often said that there is a cost to doing business.  Proxy meeting fees have emerged as such a cost in the context of the business of investing your hard-earned dollars.  These unique fees are ....
Utah Passes Revised Uniform Unclaimed Property Act (Senate Bill 175)
  • Shelby Wayment
  • Apr 04, 2017
After the Uniform Law Commission’s Revised Uniform Unclaimed Property Act (RUUPA) was released many states have proposed bills that relate to unclaimed property and escheatable assets. This includes....
How to Remain Compliant with XBRL Financial Reporting
  • Admin
  • Jan 07, 2017
Many companies and consultants help others comply with eXtensible Business Reporting Language (XBRL) formatting. You may not know everything about XBRL, but it’s a good idea to learn from your provi....
Investing in Equity Crowdfunding to Gain Financial Wealth
  • Admin
  • Jan 05, 2017
Investing is an effective way that people can increase their monetary wealth. It allows people to generate a higher income and acquire funds that will help them protect their financial future going in....
H.R. 2187 – Fair Investment Opportunities for Professional Experts Act
  • Shelby Wayment
  • Apr 27, 2016
This act, if approved by the senate and the President, will direct the SEC to revise its previous regulations regarding the qualifications of natural persons as accredited investors. This act amends S....
H.R. 3784 – SEC Small Business Advocate Act of 2016
  • Shelby Wayment
  • Apr 18, 2016
The H.R. 3784 SEC Small Business Advocate Act was passed by the House of Representatives to establish an Office for the Advocate for Small Business Capital Formation. If passed into law, the Act will ....
H.R. 1675 – Capital Markets Improvement Act of 2016
  • Shelby Wayment
  • Apr 04, 2016
The House Resolution 1675 for Capital Markets Improvement Act of 2016 passed on February 3, 2016 and is currently awaiting Senate approval. H.R. 1675 directs the SEC to revise its rules to increase th....
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 ....