Blog
SEC T+2 Guide for Small Broker-Dealers: Key Points
The SEC's small-entity guide explains the move to a T+2 settlement cycle and the September 5, 2017 compliance date for broker-dealers.
Fedwire Funds Service: Who Can Use It and How It Works
A plain guide to the Fedwire Funds Service: who can join, how transfers are initiated, the settlement-day hours, and the 6:45 p.m. third-party cutoff.
How to Verify a Company Is Going Public
A reader checklist for confirming an IPO registration, effectiveness, and reporting status using primary SEC filings—not press releases.
Federal MSB Registration: Form 107 Guide for Crypto Firms
A guide to federal MSB registration under FinCEN rules: who must file Form 107, the 180-day deadline, two-year renewal, and recordkeeping duties.
SEC Rule 14a-8: Ownership, Resubmission, and Representative Rules for Small Entities
A guide to the SEC's 2020 amendments to Rule 14a-8 covering shareholder proposal eligibility, resubmission thresholds, and representative documentation requirements.
