Category: Transfer Agent

What Is a Public Company Transfer Agent vs a Private Company Transfer Agent?
  • Admin
  • Nov 15, 2023
In the financial world, transfer agents are crucial for both public and private companies. They oversee the transfer of securities and maintain accurate shareholder records. Public company transfer ag....
FINRA Grants OTC Markets Permission to Trade Digital Securities: What It Means for Investors and Investor Protection
  • Admin
  • Jul 14, 2023
As regulatory pressures increase in the crypto industry, over-the-counter (OTC) markets are adapting to new challenges and opportunities. In a significant development, the Financial Industry Regulator....
SEC Regulation CF Offering Requirements
  • Admin
  • Mar 11, 2023
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....
The Costs of Doing a Regulation Crowdfunding Offering: A List of Expenses
  • Admin
  • Mar 01, 2023
Raising capital is a necessity for companies across all industries, but there is always a cost associated with the fundraising process. There are multiple fundraising options available, but Regulation....
How Can a Transfer Agent Help You With a Reg A+ Offering?
  • Admin
  • May 24, 2022
Are you considering a Regulation A+ Mini IPO for your company? Here are six things a transfer agent can help you with on your Reg A+ IPO: A tran....
The SEC Announces Proposals To Reduce Settlement Risk to T+1
  • Admin
  • Mar 26, 2022
Traders face a variety of risks related to clearance and settlement. Now, the SEC might be making changes that can reduce the risks during this process. In February, the SEC announced that it is propo....
How Long Does it Take To Get a NASDAQ Listing?
  • Admin
  • Jan 26, 2022
If you are looking for a way to raise capital and increase the visibility of your company, you might be thinking about going public. There are multiple exchanges from which to choose, but one of the b....
5 Tips to Avoid Escheatment for Issuers
  • Admin
  • Dec 03, 2021
It is important for companies to do everything they can to help shareholders avoid the escheatment of their assets. Escheatment is something that takes place when public companies and securities issue....
A Transfer Agent’s Role in an IPO
  • Admin
  • Dec 02, 2021
Are you planning on taking your company public? If so, there are several steps you need to follow during your initial public offering. You might also be wondering if you need to hire a transfer agent.....
How to Become a Nasdaq Listed Company That You Can Be Proud of
  • Admin
  • Oct 05, 2021
The heads of successful Nasdaq companies have put in the work necessary to transition from a privately held company into one that is publicly held.  Though going public partially cedes control over t....
SEC Denies Anticipated OTC Expert Market
  • Admin
  • Sep 09, 2021
The proposed OTC Expert Market has been officially denied by the Securities and Exchange Commission (SEC).  Earlier this August, the SEC issued a decision on a proposed order that would provide condi....
The SEC Releases it Annual Regulatory and Deregulatory Agenda
  • Admin
  • Jul 23, 2021
The Securities and Exchange Commission (SEC) recently announced its Spring 2021 Unified Agenda of Regulatory and Deregulatory Actions, which summarises topics financial regulatory agencies will be add....
Exceptions to Exchange Act Registration for Reg A and Reg CF Companies
  • Admin
  • Apr 06, 2021
Companies conducting a public offering must file a registration statement with the SEC before offering their securities for sale.  Once the registration statement has gone into "effect", these securi....
SEC Proposes Amendments To Rule 144
  • Admin
  • Feb 03, 2021
On December 22, 2020, the SEC proposed amendments to Rule 144 to eliminate 'tacking of' the holding period of security and amend the filing requirements and the deadline to coincide with the Form 4 fi....
Nasdaq Proposed Rule Changes To Its Discretionary Listing And Continued Listing Standards
  • Admin
  • Sep 17, 2020
On June 2, 2020, the Nasdaq Stock Market LLC filed a proposed rule change with the SEC to amend Rule IM-5101-1. The rule provides Nasdaq authority to deny or continue listing to a company but rules ou....
Top 10 Best Crowdfunding Platforms for Reg A+
  • Admin
  • Aug 31, 2020
Title IV Regulation A+ allows companies to raise up to $50 million per year, a process that many people refer to as "Mini-I.P.O." Ever since the SEC announced exemptions and leverages in Regulation A+....
Proposal to Amend Rule 15c2-11 and De-listing of OTC Non-Reporting and Shell Companies
  • Dan Carter
  • Jan 31, 2020
The Securities and Exchange Commission recently released a sweeping proposal to amend Rule 15c2-11 and provide a pathway to de-list currently trading OTC securities that are delinquent in their financ....
Shareholder Voting by Exchange
  • Joshua Scofield
  • Sep 04, 2019
In addition to federal and state corporate law, companies which trade on public markets are also subject to institutional regulation. In other words, your publicly-traded company must follow rules cre....
SEC Analysis Matrix Regarding Digital Assets
  • Shelby Wayment
  • May 13, 2019
The SEC published a Framework for Investment Contract Analysis of Digital Assets on April 3, 2019. The analysis provides guidance for applying the Howey test to digital assets to determine if they ar....
SEC Releases Examination Priorities for 2019
  • Admin
  • Mar 08, 2019
The Office of Compliance Inspections and Examinations (OCIE) of Securities and Exchange Commission (SEC) has revealed its examination priorities for the year 2019, on December 20, 2018. Every year ....