Category: SEC regulation 2411

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
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 streamline and update the current rules, ensuring they align with existing practices and regulations. While regulations have been in plac
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 metrics are numeric representations of performance, finances, or cash flows that don't follow Generally Accepted Accounting Princi
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
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 rule is found under the Securities and Exchange Act of 1934, and the goal of the amendments to rule Rule 10b5-1 is to increase the d
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 2022. Now, the SEC has announced its regulatory agenda for Spring 2022. It is not indicative of anything specific, but it could giv
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 does not end just because the public has access to their shares. The company also has to stay compliant with all exchange rules and S
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
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 garnering more attention as time progresses as they are arguably egregiously excessive and even somewhat punitive.  Let’s take
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 providers and experts about what to do and when. You will be more prepared and may make fewer mistakes in the future. Complying with XB
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 into retirement. The income they generate can even be set aside for their children, be distributed after they pass away, or when the
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 allow the office to provide the SEC with advice regarding the interests and well being of small businesses and investors. However,
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 the threshold amount, after which issuers are required to disclose certain information relating to compensatory benefit plans. This
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 the Securities Exchange Act. If eligible, smaller companies will be able to offer and sell as much as $50 million in equity in a o