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 company’s proxy statement. Recently,
The Securities and Exchange Commission (SEC) has already been busy this year, issuing several rule changes and amendments that have been available for public comment during various points throughout 2022. Now, the SEC has announced its regulatory agenda for Spring 2022. It is not indicative of anything specific, but it could give the public some
Recently, the Securities and Exchange Commission has voted to adopt amendments related to proxy voting advice. This amendment was originally proposed in November 2021, and the amendments were finalized to avoid placing burdens on businesses. The concern was related to the timeliness of independent advice businesses. Now, the amendments have been enacted to address misperceptions
If you are looking for a way to grow your business and raise money, you might be thinking about taking your company public. By selling shares of stock in your company, you can raise capital you can use to conduct research, expand your inventory, and increase marketing. The largest Stock Exchange in the world is
If you are interested in building a profitable business, you need to look and act like a CEO. As a CEO, you will be in charge of the daily operations of your company, but you cannot do everything alone. You should put the right people in a position to be successful, and you must convince
The IPO and financing transactions listing for the month of June 2022 can be found below. These transactions were filed to the SEC as S-1, F-1, and 1-A filings. The Form S-1 is the initial registration statement filing used by domestic companies to go public. The Form F-1 is a registration statement used by foreign
The IPO and financing transactions listing for the month of May 2022 can be found below. These transactions were filed to the SEC as S-1, F-1, and 1-A filings. The Form S-1 is the initial registration statement filing used by domestic companies to go public. The Form F-1 is a registration statement used by foreign
The environment has been a significant issue during the past few decades, and many companies have taken it upon themselves to become more sustainable. Now, it appears that the Securities and Exchange Commission (SEC) will extend its formal regulations related to climate-related disclosures. The SEC has extended its public comment period, inviting people to comment
For a company to be traded on any of the major stock exchanges, they need to apply for listing. If a company is accepted, then its shares will be listed for sale on the stock exchange. The process does not end just because the public has access to their shares. The company also has to
If you are interested in obtaining a free Medallion Signature Guarantee, you might be wondering where you can get one. Take a look at a few helpful tips on where to find one. What is a Medallion Signature Guarantee? A Medallion Signature Guarantee is a specific type of stamp that is used when you transfer
Traditional crowdfunding allows individuals to give money to startups and charitable organizations. In return for the donations, companies typically provide early access to the company’s products or other perks. Kickstarter, GoFundMe, and Indiegogo are some of the most popular crowdfunding sites used by entrepreneurs and philanthropies. These sites make it easy for companies to connect with future customers and donors. However,
Jasmine’s Kitchen (JK) creates custom kitchenware for restaurants. They need capital for product development and expansion. They decide to pursue a Reg A+ Mini IPO on the NASDAQ. The NASDAQ is a national exchange, so JK’s executives need to meet its requirements. Here are the steps JK executives must follow to achieve their goals. 1.
Freddy and Fabrizio, co-founders of F&F Inc. want to raise capital to franchise their local retail chain, eventually on a national level. They’re discussing the benefits of following Regulation A+ vs Regulation CF. Here’s how they see each scenario affecting F&F. Freddy: So Fabrizio, Reg A+ gives us optional access to public markets. The benefits are
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 transfer agent works with underwriters and broker-dealers and guides your legal team through the hurdles needed to complete a Reg A+ offering. A transfer agent can act as
Want an easy way to meet and learn about the companies you are interested in investing in? Equity crowdfunding creates the handshake. Although risky, these transactions offer a potentially high return on investment. Donation-based crowdfunding provides perks and rewards such as presales. Equity-based crowdfunding provides ownership and dividends. Five tips for choosing companies for equity-based crowdfunding…
The IPO and financing transactions listing for the month of April 2022 can be found below. These transactions were filed to the SEC as S-1, F-1, and 1-A filings. The Form S-1 is the initial registration statement filing used by domestic companies to go public. The Form F-1 is a registration statement used by foreign
Investor protections and disclosures are always at the top of the priority list of the Securities and Exchange Commission, and the SEC recently announced enhanced disclosure and investor protection measures as they relate to shell companies, private operating companies, and special purpose acquisition companies (SPACs). According to the chair of the SEC, Gary Gensler, the
The Division of Examinations of the Securities and Exchange Commission (SEC) recently announced its areas of focus for 2022. The Division takes a risk-based approach to its examinations, typically focusing on areas that are of major potential risk to investors. In an effort to maintain the integrity of US capital markets, several areas will be
The IPO and financing transactions listing for the month of March 2022 can be found below. These transactions were filed to the SEC as S-1, F-1, and 1-A filings. The Form S-1 is the initial registration statement filing used by domestic companies to go public. The Form F-1 is a registration statement used by foreign
Throughout the years, the SEC has been criticized for it its practice known as regulation by enforcement. Its practices have waxed and waned over the years, but more recently, the SEC has been more willing to regulate by enforcement. This has led to new regulations and rules, which market participants have noticed. Numerous advocacy groups