Category: Transfer Agent

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
Are you considering a Regulation A+ Mini IPO for your company? https://www.youtube.com/watch?v=b44EMRvPvmY Here are six things a transfer agent can help you with on your Reg A+ IPO: A transfer agent works with underwriters and broker-dealers and guides your legal team through the hurdles needed to complete a Reg A+ o
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 issuers have not had any contact with shareholders over a set period of time. Under this law, states have the right to claim uncashed c
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. A transfer agent plays an essential role in any IPO. Taking your company public comes with new regulations and laws you need to f
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+, we have been witnessing new crowdfunding platforms eager to take a plunge in the vast money pile like uncle scrooge. But it is c
Investing in or organizing an Initial Coin Offering (ICO) may sound like a great idea, especially if you were not able to mint profits from Bitcoin and Ethereum but beware of the associated risks. ICO is risky both for buyers and organizers for various reasons. If this is not something you want to read, skip to the bottom sectio
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 are investment contracts or securities. The test was created in the 1946 U.S. Supreme Court case, SEC v. W.J. Howey Co.   The Ho
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 OCIE publishes its examination priorities to emphasize its commitment to transparency, and promote it in the examination programs.
Beginning January 19, 2019, OTC Markets will begin to require all U.S. OTCQB and OTCQX companies to give verified share data through the services of a transfer agent participating in their Transfer Agent Verified Shares Program. Through their program, transfer agents can provide regular and up-to-date information on a company
A transfer agent is a company or financial institution that helps manage securities recordkeeping duties for private and public entities. Transfer agents perform many functions, including but not limited to: ensuring compliance with the Securities and Exchange Commission (SEC) following an initial public offering (IPO) or privat
One of the common issues that small businesses encounter is the challenge of finding the funds to invest and grow. This is particularly problematic for an entrepreneur or a startup business, that may not be as well-known or may not have built a strong reputation. An equity crowdfunding solution may be the ideal match for your s
On April 12, 2017, the Financial Industry Regulatory Authority (FINRA) published three regulatory notices proposing amendments to three of their rules regarding capital formation, corporate financing, and safe harbor, respectively. The first notice describes FINRA as a self-regulatory organization (SRO) with primary emphases on
Trump has announced his nomination of Walter ‘Jay’ Clayton, a man who is leaning towards less regulation, to be the head of the U.S. Securities Exchange Commission. Donald Trump said of Clayton, "Jay Clayton is a highly talented expert on many aspects of financial and regulatory law, and he will ensure our financial ins
There are certain basic features and powers that every corporation holds. One corporate power is the right to sell stock in exchange for ownership in the company.  The purchasers of the shares become owners and are also known as shareholders or investors. A shareholder can gain ownership through receiving stock grants, awards,
Raising money from investors for your business involves understanding complex securities rules and regulations and federal and state filing requirements for proper compliance. Whether you own a small business or a large corporation, it is vital to consult an expert to ensure that you are compliant with all the necessary securiti