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 agents must navigate a complex environment of regulations set forth by bodies like the Securities and Exchange Commission (SEC). The
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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 Regulatory Authority (FINRA) has approved OTC Markets to provide trading services for digital asset securities. This comes amid a contentio
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
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 Crowdfunding, usually shortened to Reg CF, has become more popular during the past few years. What is Reg CF, and what are the co
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
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 proposing new amendments and rules to protect investors. The goal of these changes is to reduce the risks faced by investors during sec
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 biggest options in the world is the NASDAQ. Even though many companies listed on the NASDAQ are tech companies, there are other ind
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
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 the company to shareholders, there are countless reasons as to why listing on the Nasdaq makes sense. Let’s take a look at the
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 conditional exemption from Rule 15c2-11 for specific broker-dealer quotation publications through an Expert Market. The suggested mar
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 addressing in the coming months.
“The SEC has a lot of regulatory work ahead of us,” said SEC Chair Gary Gensler. “I look fo
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 securities are deemed to be "registered". Companies who have not registered their securities would trigger the requirement to register
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 filing deadline. Under the proposed rule, the holding period for the "market-adjustable securities" acquired upon conversion or exch
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 out certain factors. The proposed rule change will establish NASDAQ's position related to quality audits' importance by enhancing di
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
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 financial reporting or are shell companies. This new rule will modernize the existing Rule, updating several areas including rules about
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 created by the exchange on which you trade. It is simply the price of playing ball. The most relevant exchanges are NASDAQ and the Ne
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.