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
Category: SEC 15
The Securities and Exchange Commission (SEC) has taken a significant step forward in enhancing cybersecurity measures for public companies. With the adoption of new rules, the SEC aims to strengthen cybersecurity risk management, strategy, governance, and incident disclosure practices. This article provides a comprehensive overv
The Securities and Exchange Commission (SEC) has recently released important amendments to Rule 10b5-1, further refining insider trading regulations and offering more clarity to market participants. This move builds upon ongoing efforts to strengthen market integrity, ensuring fair and transparent securities trading for all part
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
Recently, the Securities and Exchange Commission (SEC) adopted new, final rules that provide new guidance for parties during a contested election. Now, the SEC requires all parties to use universal proxy cards that include all of the director nominees at an election during a shareholder meeting. While the new rules were propose
The Securities and Exchange Commission (SEC) has been working to enhance protections for investors and improve the operations of capital markets, and it recently announced that it had adopted rules to reduce risks and clearance and settlement. These changes will have an impact on most broker-dealer transactions, the processing o
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
Companies need to raise capital from time to time, and there are several ways they can do so. One of the most popular options today is called Regulation Crowdfunding, which is usually shortened to Reg CF. How does Regulation Crowdfunding work, and what are some of the main advantages? Take a look at a few important points below
If you would like to raise money by offering securities for sale to specific investors, you need to register with the Securities and Exchange Commission, also known as SEC. One of the ways to make this process easier is through Regulation A, which was instituted under the Securities Act of 1933. Companies that are eligible for
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
Since the birth of the internet, cybersecurity has been an important topic. Just as companies are working hard to protect their confidential information from hackers, cybercriminals are working hard to get around these defense measures. As an increasing percentage of the world's economy runs through electronic communications and
Recently, the United States Securities and Exchange Commission (SEC) released a new plan for the fiscal years 2022 to 2026. Like other releases from the SEC, this plan is open to public comment. The plan has three separate goals that it seeks to accomplish, including:
Protecting working families against misconduct, manipula
If you run a startup, you have a lot on your plate. You are focused on the quality of your products and services, hiring new employees, and managing your equity stake. One of your most important tools is your cap table, which will give you a detailed breakdown of your financing. Your cap table tells your financial story. It has
There are plenty of foreign companies that want to make offerings in the United States. Some foreign companies might be wondering, can non-US issuers make a Reg A or Reg CF offering? If they are allowed to do so, are there any limits that they need to stay under? It is important to take a closer look at the rules and figure out
The financial markets are changing quickly, particularly with respect to industrial applications and cryptocurrency. For a long time, the SEC has been receiving pressure to regulate and support these industries, and now, it is adding an Office of Crypto Assets and another office focused on Industrial Applications and Services.
Financial regulatory authorities have paid close attention to executive compensation structures during the past few years. Now, the SEC is adopting rules related to pay versus performance. Recently, the SEC announced that these proposed amendments would require registrants to disclose specific information regarding the relations
Private fund reporting has been a significant area of concern during the past few years, and the Securities and Exchange Commission (SEC) recently voted to propose amendments to Form PF. This is a confidential reporting form that is required for certain investment advisors who provide guidance to private funds. The goal of the a
Recently, there has been a significant push from shareholders to increase transparency, and the Securities and Exchange Commission (SEC), has noticed. Recently, the SEC proposed changes to their beneficial ownership reporting requirements. The changes will take place as amendments to the Exchange Act of 1934, and they will reduc
There are a lot of rights and responsibilities that come with taking a company public, and shareholders are entitled to a significant amount of information in accordance with the rules of the Securities and Exchange Commission (SEC). This includes a rule that governs the process for including shareholder proposals within the com