Blog
SEC Proxy Exemption Opens Electronic Shareholder Forums
The SEC adopted Rule 14a-17 and amended Rule 14a-2 to exempt many forum communications from proxy rules, with a 60-day timing condition.
SEC Investor Resources for Teachers: What the Page Offers
The SEC's investor education page links teachers to retirement planning guides, fee explainers, background checks, and enforcement cases involving educators.
How to Verify a Trump Account Before You Act
A verification checklist for parents: what Investor.gov confirms about Trump Accounts, what the Treasury announcements establish, and what remains unstated.
Crowdfunding Intermediary Compliance: Broker-Dealer vs Funding Portal
The SEC guide explains who can act as a Regulation Crowdfunding intermediary and why funding portals face activity limits that may require broker-dealer registration.
SEC Exempt-Offering Integration Rules: A Guide to Rule 152
What the SEC's new Rule 152 integration framework changes for issuers using the exempt-offering market, and which questions the source leaves open.
