Blog

NASDAQ Proposes New Authority to Delist Companies Following SEC Trading Suspensions: What Issuers Need to Know
  • Admin
  • Jun 12, 2026
Nasdaq continues to strengthen its oversight of listed companies through a series of regulatory init....
Financing/IPO Transactions – February 2026
  • Admin
  • Apr 06, 2026
The IPO and financing transactions listing for the month of February 2026 can be found below. These ....
What Is Driving the “DExit” Conversation
  • Dan Carter
  • Feb 17, 2026
For decades, “just incorporate in Delaware” was the default advice for venture-backed startups a....
The End of the Compliance Cushion: Nasdaq’s Proposed $5 Million Hard Floor
  • Admin
  • Feb 12, 2026
In January 2026, Nasdaq filed a proposed rule change with the Securities and Exchange Commission to ....
Financing/IPO Transactions – January 2026
  • Admin
  • Feb 06, 2026
The IPO and financing transactions listing for the month of January 2026 can be found below. These t....
Why You Need a Transfer Agent for Your IPO
  • Admin
  • Feb 03, 2026
Preparing to go public is a milestone that brings excitement, responsibility, and a flurry of legal,....
Stock Transfer Agents vs. Cap Table Management Providers – Differences Explained
  • Admin
  • Jan 26, 2026
In the early stages of a company’s existence, it’s common for founders and finance teams to mana....
Financing/IPO Transactions – December 2025
  • Admin
  • Jan 08, 2026
The IPO and financing transactions listing for the month of December 2025 can be found below. These ....
QSBS Tax Benefit Explained: Eligibility, Tax Savings, and Holding Rules
  • Admin
  • Dec 15, 2025
For entrepreneurs, early employees, and investors in startups, tax planning is not just about maximi....
OBBB Explained: How to Actually Get the New Tax Benefits
  • Admin
  • Dec 15, 2025
The One Big Beautiful Bill (OBBB) introduced a wave of new tax-advantaged opportunities for families....
QSBS Explained: Rules, Requirements, and Eligibility
  • Admin
  • Dec 12, 2025
For investors and startup founders alike, the U.S. tax code offers a powerful incentive that often f....
Nasdaq Proposes to Relax Seasoning Rules for OTC-Traded SPACs
  • Admin
  • Dec 09, 2025
In August 2025, the Nasdaq Stock Market proposed a pivotal change to its listing standards, particul....
Financing/IPO Transactions – November 2025
  • Admin
  • Dec 04, 2025
The IPO and financing transactions listing for the month of November 2025 can be found below. These ....
Financing/IPO Transactions – October 2025
  • Admin
  • Nov 20, 2025
The IPO and financing transactions listing for the month of October 2025 can be found below. These t....
Nasdaq Tightens Listing Rules for China-Based Companies
  • Admin
  • Oct 23, 2025
In September 2025, Nasdaq proposed significant changes to Nasdaq listing requirements aimed at compa....
Nasdaq Proposes New Rule for Faster Delisting of Companies Trading Below $0.10: Are You at Risk?
  • Admin
  • Oct 13, 2025
In October 2025, Nasdaq unveiled a major proposed amendment aimed at tightening compliance standards....
Financing/IPO Transactions – September 2025
  • Admin
  • Oct 07, 2025
The IPO and financing transactions listing for the month of September 2025 can be found below. These....
506(b) vs. 506(c): Differences for Private Offerings Under Regulation D
  • Admin
  • Sep 23, 2025
Raising capital privately has become a cornerstone strategy for startups, growth-stage companies, an....
Financing/IPO Transactions – July 2025
  • Admin
  • Aug 22, 2025
The IPO and financing transactions listing for the month of July 2025 can be found below. These tran....
OTCID Tier Explained: Comprehensive Guide to Compliance Requirements
  • Admin
  • Aug 20, 2025
In April 2025, OTC Markets officially launched the OTCID Tier, a new market designation aimed at imp....
SEC’s 2025 Reports on Reg A, Crowdfunding & Fund Ownership
  • Admin
  • Aug 19, 2025
On May 28, 2025, the U.S. Securities and Exchange Commission (SEC) released a trio of comprehensive ....
How Accountability of Public Companies Can Benefit Management’s Performance
  • Admin
  • Jul 18, 2025
Corporate accountability is a cornerstone of sustainable business practices that can enhance managem....
Review of the Accredited Investor Definition under the Dodd Frank Act
  • Rajesh Kumar
  • Jul 11, 2025
The "Accredited Investor" definition, established under the Dodd-Frank Act, plays a significant role....
SEC Disclosure Requirements for Crypto Asset Securities: What Companies Need to Know
  • Admin
  • Jul 07, 2025
The SEC Division of Corporation Finance recently issued groundbreaking guidance, clarifying disclosu....
How to Properly Comply with Rule 144 as an Investor
  • Admin
  • Jul 07, 2025
Investors who acquire restricted securities through private placements, employee stock plans, or oth....
Reg A Offering for Public Companies: A Comprehensive Guide
  • Admin
  • Jul 07, 2025
Companies seeking to raise capital from the public without the substantial costs and complexity of a....
SEC Regulation D Explained: How to Comply with Rules 504, 506(b) and 506(c)
  • Admin
  • Jun 10, 2025
Raising capital for your business doesn't always require a full SEC registration statement that can ....
Financing/IPO Transactions – May 2025
  • Admin
  • Jun 06, 2025
The IPO and financing transactions listing for the month of May 2025 can be found below. These trans....
Financing/IPO Transactions – April 2025
  • Admin
  • May 08, 2025
The IPO and financing transactions listing for the month of April 2025 can be found below. These tra....
Financing/IPO Transactions – March 2025
  • Admin
  • Apr 17, 2025
The IPO and financing transactions listing for the month of March 2025 can be found below. These tra....