Blog

1 week ago

Important SEC Distinction: Furnished vs. Filed

When companies submit information to the Securities and Exchange Commission (SEC), they must be aware of the critical distinction between “furnished” and “filed” information. This differentiation has significant implications for…

2 weeks ago

Private Company Beneficial Ownership Reporting Under New FinCEN Rules

The Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) proposed beneficial ownership reporting requirements for private companies in December 2021. The final rules were adopted in October 2022 under…

1 month ago

Insider Trading Regulations and Interpretations

A Brief Overview Insider trading is the illegal practice of buying or selling a public company’s securities on the basis of material non-public information. It is prohibited under the anti-fraud…

3 months ago

OTC Markets Receives FINRA Approval for Digital Assets

During its earnings call on May 10, 2023, OTC Markets Group Inc. (OTC Markets) announced that it received approval from FINRA to offer services for digital assets as securities, signifying…

7 months ago

Private Placements

A private placement is a sale of securities to pre-selected investors and institutions rather than on the open market. It is often used as an alternative to an initial public…

7 months ago

Regulation A

For years, companies wishing to sell their shares to the public registered new shares with the Securities and Exchange Commission (SEC) using Form S-1 registration statements because they allow companies…

7 months ago

Regulation CF

On November 2, 2020 the Securities and Exchange Commission (SEC) approved long-awaited rule changes to the exempt offering framework for securities regulations. These changes include significant revisions to Regulation Crowdfunding…