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…

Read more

What is SEC Form PX14A6G and why do you need to file?

By | 05/17/2023 | 3:14 am ET

As an investor or business owner, it’s important to do your due diligence and understand what documents you need to file with the Securities and Exchange Commission (SEC). One such document is SEC Form PX14A6G. This form is used to communicate with other shareholders and board members about matters related to corporate governance. The purpose of the form is to give shareholders a voice in corporate decision-making, providing them with…

Read more

SEC Proposes Rule Amendments to Modernize Beneficial Ownership Reporting

By | 02/19/2022 | 8:46 am ET

One of the hot topics in the financial markets recently has been transparency. Right now, a lot of shareholders feel like they have been left in the dark, as it can be hard for them to figure out what to do with their securities and investments. Now, the Securities and Exchange Commission (SEC) has proposed changes that would modernize certain reporting areas to increase transparency. With more transparency, investors will have…

Read more

The Most Costly States to File Blue Sky Offerings

By | 08/28/2020 | 1:46 pm ET

The Uniform Securities Act of 1956 forms the foundation of Blue Sky Laws in different states. Although the reference is the same, there are wide variations in each state's rules and regulations, especially when it comes to filing fees. For example, while some states like Kansas charge a penalty for late filing, others like Indiana have no filing fees at all. The tax is either  fixed or variable, applicable to…

Read more

Hiring an EDGAR Filing Agent

By | 01/13/2017 | 10:23 pm ET

The Securities and Exchange Commission mandates that a company file several forms providing basic information regarding a company before attempting to sell or offer securities.  Companies may also be required to submit quarterly and annual reports, as well as corporate updates and notification of new offerings, etc.  These "EDGAR" forms reflect how a company operates and why it is essential that every form that is filed is professional as possible. …

Read more