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On June 17, 2016 the SEC approved IEX as a national stock exchange. The approval marks the first time since July 2013 that the SEC has sanctioned a new trading exchange. What is IEX? IEX stands for Investors’ Exchange and is a national stock exchange designed to slow down trades used by high-frequency traders in
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The OTC Markets group recently implemented several amendments regarding the initial qualification process for the OTCQX that became effective June 13, 2016. These rules will affect companies who are performing an IPO while attempting to join OTCQX. These amendments also apply to companies that have not had a prior public market or a Form 211
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There are many ways to invest; you can invest your money through owning collectables, owning a home, opening a savings account, or investing in a company. Below are five benefits of investing through equity crowdfunding. Dividend Income If you invest in a company that offers stock dividends, you could have a consistent source of ongoing
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In order to operate, a crowdfunding service intermediary is required to register with the Securities and Exchange Commission (SEC) either as a broker or funding portal. Funding portals are designed to be engaged in managing securities transactions for the accounts of others through an independent crowdfunding website. This article is provided as a compliance guide
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Many large companies in today’s business industry have started offering stock options for their employees. Consequently, businesses are striving to find a convenient and cost-effective way to manage their stock option compensation plan. Colonial Stock Transfer offers a web-based software solution, which provides businesses the ability to conveniently manage their options and investors. These stock
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The H.R. 3784 SEC Small Business Advocate Act was passed by the House of Representatives to establish an Office for the Advocate for Small Business Capital Formation. If passed into law, the Act will allow the office to provide the SEC with advice regarding the interests and well being of small businesses and investors. However,
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Before the general meeting of an organization or a mutual fund, shareholders receive a package in the mail that contains a number of documents: financial reports, investment data as well as documents that announce critical issues ─ for example, proposals for changes to an organization’s share structure or their mergers and acquisitions. Unit holders or
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The House Resolution 1675 for Capital Markets Improvement Act of 2016 passed on February 3, 2016 and is currently awaiting Senate approval. H.R. 1675 directs the SEC to revise its rules to increase the threshold amount, after which issuers are required to disclose certain information relating to compensatory benefit plans. This act includes 5 smaller
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The Fixing America’s Surface Transportation Act (FAST Act) was signed into law on December 4, 2015 by President Barrack Obama. The FAST Act contains many securities related bills which required SEC guidance following the implementation of these new rules. The SEC released interim rules regarding two provisions of the FAST Act that will be effective
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Do you have a great business idea but lack the funding to start your own company? Are you unable to secure enough money to maximize your company’s potential, even with financial backing from your bank? When starting a business, it is important to have adequate finances to ensure a promising future for your startup and
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Equity-based crowdfunding enables entrepreneurs to access investors who are interested in raising capital for their startup or private businesses. Crowdfunding has evolved to become an accessible multidisciplinary means of raising capital for projects that cannot raise funds through traditional means or are not significant enough to gain the attention of banks and venture capitalists. The
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The House of Representatives passed the Accelerating Access to Capital Act on September 8th, 2016 by a vote of 236-178. This act was designed to help small companies gain access to capital, through three important pieces of legislation. H.R. 2357: Accelerating Access to Capital This act proposed that the SEC revise Form S-3 within 45
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What is a Stock Transfer Agent? When companies issue stocks, they must track transactions and keep accurate and up-to-date shareholder records. It can be very difficult to keep these records, maintain regulatory compliance, and ensure everything is done in the most efficient and accurate manner. Thus, many businesses turn to stock transfer services. When you
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The Depository Trust and Clearing Corporation (DTC) recently proposed Rule SR-DTC-2015-012 regarding CUSIP eligibility that went into effect on January 1st, 2016. The proposed rule allows DTC to charge issuers a $1,000 fee when required to make a new CUSIP DTC eligible after completion of a corporate action. A CUSIP is similar to a serial
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Most beginning entrepreneurs do not find themselves in a situation where the money they need to start their business is readily available. In fact, the opposite is true, with many entrepreneurs struggling even to acquire the necessary funding to create a prototype. For these small scale, low budget entrepreneurs, equity-based crowdfunding serves as a viable
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On August 5, 2015, the Securities and Exchange Commission adopted the pay ratio disclosure rule that requires public companies to disclose the ratio of CEO compensation to the median compensation of employees starting in 2017. Through this rule, companies will provide investors information to analyze a CEO’s compensation relative to the compensation of its employees
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What Is a Proxy? A proxy refers to an agent who has the legal permission to act and carry out decisions on your behalf. A proxy agent also makes it possible for you to vote at the annual shareholder meeting even when you aren’t present. What Is Voting by Proxy? If you’re a shareholder and
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Proposed Amendments Would Allow Regulation A Tier 2 Offerings for Listing on OTCQB The SEC’s amendments to Regulation A of the Securities Exchange Act became effective on 6-19-2015. If all requirements are met, Regulation A allows for smaller companies to offer and sell up to $50 million in equity in a one-year period while relying
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Shareholders Can Gain a Better Understanding of Corporate Governance On April 29, 2015, the SEC proposed a ruling that would require corporations to disclose the relationship between executive pay and fiscal performance. SEC Chair Mary Jo White stated that the ruling would better inform shareholders of voting proposals set forth by companies and provide a
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