SEC Takes Action to Curb Skyrocketing Costs of Consolidated Audit Trail
The CAT, mandated by Rule 613 of Regulation NMS following the 2010 Flash Crash, was intended to enhance market surveillance by creating…
Read More
Rule 144 Resales of Restricted Securities of Shell Companies and Former Shell Companies
Rule 144(i): The Restriction on Shell Company Resales - What Stockholders and Issuers need to know.
Read More
Direct Public Offerings in 2025
A Direct Public Offering (DPO) is an effective method for going public. Private companies may also raise capital by selling securities directly…
Read More
Navigating Corporate Governance: Requirements for Nasdaq and NYSE Companies
If you're eyeing a listing on the New York Stock Exchange (NYSE) or Nasdaq Stock Market (Nasdaq), you'll need to align your…
Read More
Navigating SEC Disclosures: Director and Executive Officer Information
Item 401 of Regulation S-K requires that companies make certain disclosures about their directors, executive officers, and nominees. This information helps shareholders…
Read More
