Follow Colonial Stock Transfer, filter it, and define how you want to receive the news (via Email, RSS, Telegram, WhatsApp etc.) https://follow.it/colonial-stock-transfer Fri, 22 Sep 2023 20:13:37 +0200 https://api.follow.it/track-rss-story-click/v3/6u39rWRemYsdUZrihDnN2qJCIqJppjfU The Securities and Exchange Commission (SEC) has recently approved amendments to the exemption from national securities association membership requirements. These changes aim to streamline the regulatory framework and provide relief to certain categories of broker-dealers. In this article, we will delve into the details of these amendments and their implications for the securities industry. Understanding]]> Mon, 18 Sep 2023 11:59:56 +0200 https://api.follow.it/track-rss-story-click/v3/6u39rWRemYsdUZrihDnN2qJCIqJppjfU https://api.follow.it/track-rss-story-click/v3/6u39rWRemYv2RXDysylekbkdRKkm2PJP The Securities and Exchange Commission (SEC) has taken significant steps to enhance the regulation of private fund advisers. With the adoption of new rules and amendments, the SEC aims to strengthen investor protection and promote transparency in the private fund industry. In this article, we will explore the key aspects of these regulatory enhancements and]]> Mon, 18 Sep 2023 11:27:55 +0200 https://api.follow.it/track-rss-story-click/v3/6u39rWRemYv2RXDysylekbkdRKkm2PJP https://api.follow.it/track-rss-story-click/v3/6u39rWRemYtmaIiUSfHVB-QEmsPXZ5C9 When dealing with the requirements of the Securities Exchange Act of 1933, it’s vital to understand the definition of an affiliate. We’ll look at what an affiliate is, as provided by the SEC under this act, and cover what you need to know. Specifically, in this article, we will consider what an affiliate is within]]> Thu, 14 Sep 2023 14:49:32 +0200 https://api.follow.it/track-rss-story-click/v3/6u39rWRemYtmaIiUSfHVB-QEmsPXZ5C9 https://api.follow.it/track-rss-story-click/v3/6u39rWRemYs78h5FzTWGhlRpWVnEcNkS The IPO and financing transactions listing for the month of August 2023 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]]> Thu, 14 Sep 2023 13:43:53 +0200 https://api.follow.it/track-rss-story-click/v3/6u39rWRemYs78h5FzTWGhlRpWVnEcNkS https://api.follow.it/track-rss-story-click/v3/6u39rWRemYtEgWNSaD-Jp4vmyuk5fxzE The IPO and financing transactions listing for the month of July 2023 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]]> Thu, 14 Sep 2023 12:34:10 +0200 https://api.follow.it/track-rss-story-click/v3/6u39rWRemYtEgWNSaD-Jp4vmyuk5fxzE https://api.follow.it/track-rss-story-click/v3/6u39rWRemYtqgqpITmL0T5JTpfXVttXD The Securities and Exchange Commission (SEC) has taken a significant step forward in enhancing cybersecurity measures for public companies. With the adoption of new rules, the SEC aims to strengthen cybersecurity risk management, strategy, governance, and incident disclosure practices. This article provides a comprehensive overview of the SEC’s latest initiatives to safeguard public companies and]]> Mon, 07 Aug 2023 21:35:00 +0200 https://api.follow.it/track-rss-story-click/v3/6u39rWRemYtqgqpITmL0T5JTpfXVttXD https://api.follow.it/track-rss-story-click/v3/6u39rWRemYsGKiRMeHelTWhamfNIiY2W The landscape of shareholder meetings and corporate governance is evolving rapidly, driven by an ongoing political debate in Washington. At the heart of the debate are the differing views on Environmental, Social, and Governance (ESG) principles, shareholder activism, and the role of proxy advisory firms. House Republicans Introduce New Bills and Hearings on Shareholder Meetings]]> Tue, 25 Jul 2023 14:04:50 +0200 https://api.follow.it/track-rss-story-click/v3/6u39rWRemYsGKiRMeHelTWhamfNIiY2W https://api.follow.it/track-rss-story-click/v3/6u39rWRemYvnjLs7P9VLFxtLdxSOwF-n The Securities and Exchange Commission (SEC) has recently released important amendments to Rule 10b5-1, further refining insider trading regulations and offering more clarity to market participants. This move builds upon ongoing efforts to strengthen market integrity, ensuring fair and transparent securities trading for all parties involved. Overview of Rule 10b5-1 and its Importance in Securities]]> Fri, 14 Jul 2023 09:38:48 +0200 https://api.follow.it/track-rss-story-click/v3/6u39rWRemYvnjLs7P9VLFxtLdxSOwF-n https://api.follow.it/track-rss-story-click/v3/6u39rWRemYsXIoZcxT6dDpJTpfXVttXD 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 contentious climate where regulatory bodies like the Securities and Exchange Commission]]> Fri, 14 Jul 2023 09:16:28 +0200 https://api.follow.it/track-rss-story-click/v3/6u39rWRemYsXIoZcxT6dDpJTpfXVttXD https://api.follow.it/track-rss-story-click/v3/6u39rWRemYuUhoBPtvOkUG0dX84dnP8Y The IPO and financing transactions listing for the month of June 2023 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]]> Sat, 08 Jul 2023 15:08:19 +0200 https://api.follow.it/track-rss-story-click/v3/6u39rWRemYuUhoBPtvOkUG0dX84dnP8Y https://api.follow.it/track-rss-story-click/v3/6u39rWRemYsMRwy1ne6z_0FW8UNEQjUn What Does a Cap Table Show? A cap table shows what is known as equity capitalization. Equity capitalization is a breakdown of the ownership structure of a company, showing the different classes of shares that have been issued and how much each shareholder owns. This information is helpful for understanding who has which rights within]]> Wed, 21 Jun 2023 21:33:39 +0200 https://api.follow.it/track-rss-story-click/v3/6u39rWRemYsMRwy1ne6z_0FW8UNEQjUn https://api.follow.it/track-rss-story-click/v3/6u39rWRemYsJd4HQ9yxkFFT72x6uxjiK The IPO and financing transactions listing for the month of May 2023 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]]> Fri, 09 Jun 2023 03:15:06 +0200 https://api.follow.it/track-rss-story-click/v3/6u39rWRemYsJd4HQ9yxkFFT72x6uxjiK https://api.follow.it/track-rss-story-click/v3/6u39rWRemYtuLOlReU9gSclTP0vptTFR Financial institutions and other clients who need to comply with the Financial Industry Regulatory Authority (FINRA) rules and regulations should be aware of upcoming changes to its Corporate Actions Management Platform. Introduction to the New Corporate Actions Management Platform FINRA is introducing a new system for ADR depository banks, Issuers, and other parties to provide]]> Tue, 16 May 2023 15:35:02 +0200 https://api.follow.it/track-rss-story-click/v3/6u39rWRemYtuLOlReU9gSclTP0vptTFR https://api.follow.it/track-rss-story-click/v3/6u39rWRemYslwKZEmLCoymhamfNIiY2W The IPO and financing transactions listing for the month of April 2023 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]]> Mon, 15 May 2023 21:27:50 +0200 https://api.follow.it/track-rss-story-click/v3/6u39rWRemYslwKZEmLCoymhamfNIiY2W https://api.follow.it/track-rss-story-click/v3/6u39rWRemYuGGJm8bozQvQBC78OgjhDM As the SEC continues to focus on how public companies use non-GAAP measures, they have issued updated Compliance & Disclosure Interpretations (C&DIs) regarding their usage. Non-GAAP financial metrics are numeric representations of performance, finances, or cash flows that don’t follow Generally Accepted Accounting Principles (GAAP). This new guidance makes clear what is deemed a misleading]]> Tue, 09 May 2023 17:49:22 +0200 https://api.follow.it/track-rss-story-click/v3/6u39rWRemYuGGJm8bozQvQBC78OgjhDM https://api.follow.it/track-rss-story-click/v3/6u39rWRemYsARtwoT0BugqrkJyTkC_2b As anticipated, on February 14, 2023, the SEC proposed revisions to the Privacy Act, governing the handling of personal information in the federal government.  The proposed revisions would codify current practic0es for processing requests for information made by the public under the Privacy Act and would result in an entire re-write of the current rules. Background The Privacy]]> Thu, 13 Apr 2023 05:54:37 +0200 https://api.follow.it/track-rss-story-click/v3/6u39rWRemYsARtwoT0BugqrkJyTkC_2b https://api.follow.it/track-rss-story-click/v3/6u39rWRemYuOl6TBY4Z6jFe5jCclomp- The Securities and Exchange Commission (SEC) has been working to enhance protections for investors and improve the operations of capital markets, and it recently announced that it had adopted rules to reduce risks and clearance and settlement. These changes will have an impact on most broker-dealer transactions, the processing of institutional trades, and recordkeeping requirements]]> Mon, 20 Mar 2023 21:49:24 +0200 https://api.follow.it/track-rss-story-click/v3/6u39rWRemYuOl6TBY4Z6jFe5jCclomp- https://api.follow.it/track-rss-story-click/v3/6u39rWRemYvWiz063AAKK2nhpmeYcemU If you want to raise money for your business, there are several options available through a private offering. One example is SEC Regulation D Rule 506C. This rule was enacted in 2012, and it provides businesses with an opportunity to raise money from private investors without having to register. This rule also allows companies to]]> Wed, 15 Mar 2023 18:58:34 +0200 https://api.follow.it/track-rss-story-click/v3/6u39rWRemYvWiz063AAKK2nhpmeYcemU https://api.follow.it/track-rss-story-click/v3/6u39rWRemYtNRcS6fZGFKwSngkwrdsok 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]]> Sat, 11 Mar 2023 21:12:29 +0200 https://api.follow.it/track-rss-story-click/v3/6u39rWRemYtNRcS6fZGFKwSngkwrdsok https://api.follow.it/track-rss-story-click/v3/6u39rWRemYtNRcS6fZGFKzHgrmwRGUK6 If you would like to raise money by offering securities for sale to specific investors, you need to register with the Securities and Exchange Commission, also known as SEC. One of the ways to make this process easier is through Regulation A, which was instituted under the Securities Act of 1933. Companies that are eligible for]]> Sat, 11 Mar 2023 21:11:09 +0200 https://api.follow.it/track-rss-story-click/v3/6u39rWRemYtNRcS6fZGFKzHgrmwRGUK6