User Friendly Stock Option Software That Produces Exceptional Results

By | 04/23/2018 | 11:29 am ET

In our contemporary society, software has been created for every imaginable need, both professionally and personally. There are programs for accountants, financial planners, engineers, architects, and many other careers. Now, there is also a software program for companies that offer stock options to their employees, and the software is more popular than ever. This web-based software offers simple and efficient means to manage all stock-based compensation, and tracks all activities…

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The House Passes The Financial CHOICE Act

By | 04/23/2018 | 11:26 am ET

On June 8, 2017, the House of Representatives passed “The Financial CHOICE Act” (“Creating Hope and Opportunity for Investors, Consumers and Entrepreneurs”). The act regulates banking institutions’ qualifying capital through numerous exemptions and policies. Further, the act repeals the Financial Stability Oversight Council’s authority while overhauling multiple parts of the Dodd-Frank Act. The act proposes to make achieving financial independence more feasible for Americans as well as increase financial opportunities…

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How to Choose a Stock Transfer Agent

By | 03/30/2018 | 1:25 pm ET

A transfer agent is a company or financial institution that helps manage securities recordkeeping duties for private and public entities. Transfer agents perform many functions, including but not limited to: ensuring compliance with the Securities and Exchange Commission (SEC) following an initial public offering (IPO) or private placement, company merger/acquisitions, processing stock splits, administering shareholder meetings, issuing or cancelling stock certificates, and stock transfers. With these professional services, a transfer…

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Five Examination Priorities of The SEC Office of Compliance Inspections and Examinations

By | 03/30/2018 | 1:25 pm ET

On February 7, 2018, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) announced its annual examination priorities for 2018. The OCIE desires to ensure compliance by preventing fraud and managing risk. These 2018 policies will focus specifically on critical market infrastructure, retail investors, developments in cryptocurrency, initial coin offerings, and secondary

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