What SEC EDGAR Filings Do I Need for a Reg D Offering?

By | 08/28/2023 | 5:08 am ET

In the world of securities and investments, compliance with regulatory bodies is paramount. Ensuring that the right filings are made to the Securities and Exchange Commission (SEC) can be the difference between a smooth fundraising process and a legal quagmire. When planning a Regulation D (Reg D) offering, one of the most commonly asked questions pertains to the necessary filings with the SEC's EDGAR system.  A Reg D offering, also…

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What Is Included in 8-K Filings?

By | 08/10/2023 | 8:10 am ET

When it comes to corporate governance and compliance, Form 8-K is a crucial document that companies must submit to the Securities and Exchange Commission (SEC) in the United States. Form 8-K gives investors a clearer picture of important events happening within a company. This form helps ensure transparency when it comes to reporting material events and changes within the company including press releases, bankruptcy, new contracts, partnerships, and more. As…

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What Is an SEC Filing Agent and Do I Need One?

By | 08/08/2023 | 2:24 pm ET

Managing regulatory filings for a public company is a task requiring meticulous attention to detail, understanding of regulatory requirements, and timely execution. It involves keeping track of numerous deadlines, forms, and changes in SEC regulations. This is where an SEC filing agent comes in. SEC filing agents are professionals who specialize in assisting public companies with their SEC requirements and financial reporting to the U.S. Securities and Exchange Commission (SEC). They…

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What Is an EDGAR Filing?

By | 08/26/2022 | 9:21 am ET

You must make sure your company is in compliance with SEC rules and regulations. That means that you need to have an intimate understanding of what an EDGAR filing is. This is a comprehensive filing system created by the Securities and Exchange Commission to manage all corporate filings. That way, investors have easy access to the documents they need to make important investment decisions. What is an EDGAR filing, and…

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What Are EDGAR Filing Codes?

By | 08/26/2022 | 9:12 am ET

If you are required to file documents with the SEC, you will need to do so through the SEC's EDGAR system. To submit your forms, you must also have your SEC EDGAR filing codes. These are codes that you use to submit forms by your EDGAR filing agent and access specific online tools and websites through the EDGAR system. You must make sure you have the right codes, and you need to…

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Electronic Filing Now Required for Investment Advisers and Managers, Says SEC

By | 07/08/2022 | 10:42 am ET

There has been a lot of discussion recently about steps that the SEC can take to make life easier for investors and investment managers. Now, they have done exactly that. Certain documents will be required to be submitted or filed electronically. These amendments will impact specific groups, including investment advisers and institutional investment managers. The goal is to make life easier for these parties by modernizing and bringing the SEC…

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What is an EDGAR Filing Agent?

By | 04/13/2022 | 10:47 am ET

If you have SEC reports that you need to submit, you need to make sure you get them in on time and in the right format. That is exactly where an EDGAR agent can help you. EDGAR, the SEC's filing database, stands for the Electronic Data Gathering, Analysis, and Retrieval system, handles document submissions from a variety of EDGAR agents and systems. EDGAR indexes, validates, and accepts any documents you submit. If you have searched…

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Updated Guidance On Confidential Treatment In SEC Filings

By | 01/18/2021 | 10:46 am ET

On December 4, 2015, President Obama signed the "FAST Act" (Fixing America's Surface Transportation Act), following which the SEC adopted amendments to Regulation S-K in March 2019 to facilitate companies. One of the amendments includes modification in CTR (Confidential Treatment Request), an application made by a registrant to the SEC requesting redaction of specific information and not publicly disclosed for a specified period. Let us first understand what kind of…

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Colonial Stock Transfer Acquires Southridge Services

By | 04/14/2020 | 6:02 am ET

Salt Lake City, Utah, April 14, 2020: Colonial Stock Transfer is pleased to announce it has acquired Southridge Services, an EDGAR filing agent located in Salt Lake City, Utah. As a transfer agent, this new acquisition brings to the team a company that can provide additional support and operations for Colonial’s existing EDGAR filing operations for public reporting companies.  Southridge Services is a full service SEC EDGAR and XBRL firm,…

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Another Wave of Relief from the SEC for Filers Affected by COVID-19

By | 03/30/2020 | 10:00 am ET

In its press release dated March 26 2020, the SEC announced temporary regulatory relief for Form ID filers, Regulation Crowdfunding and Regulation A issuers in addition to the relief already granted earlier this month. Present coronavirus pandemic is continuing to have catastrophic results on the market and its participants. The SEC has been hearing all participants and adopting corrective measures to bring hope. The measures taken involve: Participants due for…

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