Select Page

Category: SEC

EDT
We developed a comprehensive Equity Crowdfunding Chart Comparison below for all crowdfunding requirements that includes Reg A+ (Tier 1 and Tier 2), Reg D 506 C, and Reg CF. Our chart creates an easy-to-read visual representation of all the different requirements, so you can pick which form of crowdfunding works best for you. Requirements for […]
EDT
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 through 2022. The plan is in accordance with the Government Performance and Results Modernization Act of 2010, which mandates that all federal agencies outline missions […]
EDT
Spotify recently drew attention from a controversial decision to go public without an initial public offering (IPO) in April. Spotify said they wanted to go public this way, through a direct listing or direct public offering (DPO), because the company could provide equal access to both buyers and sellers, while making the entire process more […]
EDT
On February 7, 2018, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) announced its annual examination priorities for 2018. The OCIE desires to ensure compliance by preventing fraud and managing risk. These 2018 policies will focus specifically on critical market infrastructure, retail investors, developments in cryptocurrency, initial coin offerings, and secondary […]
EDT
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 reporting, and allow the SEC to […]
EDT
On November 7th, the OTC Markets Group released a new stock promotion policy. This policy aims to improve the overall market transparency for investors, while addressing the issue of misleading, manipulative, or fraudulent stock promotion. Market Transparency and Fraudulent Promotional Campaigns The wide use of digital media has allowed companies to interact and reach investors […]