Category Archives: Securities Regulation
DWAC’s Role in Stocks, Shares and Securities
DWAC stands for Deposit/Withdrawal at Custodian. It is an electronic transaction system run by The [...]
15
Jan
Jan
What is a Company Stock Transfer Agent?
A stock transfer agent is an agency, usually a bank, that keeps track of the [...]
New Accredited Investor Verification under 506(c)
Reasonable Steps to Verify Accredited Investor Status. Rule 506(c) as adopted contains both a general requirement [...]
New Accredited Investor Verification under 506(c)
Reasonable Steps to Verify Accredited Investor Status. Rule 506(c) as adopted contains both a general requirement [...]
New Accredited Investor Verification under 506(c)
Reasonable Steps to Verify Accredited Investor Status. Rule 506(c) as adopted contains both a general requirement [...]
Regulation D Bad Boy Provisions Released
The “bad boy” provisions have been added as a new paragraph (d) to Rule 506. [...]
01
Jan
Jan