Category Archives: Securities
What is the SEC’s FAST Act Modernization and Simplification of Regulation S-K?
The Securities and Exchange Commission voted in March to adopt several amendments in Regulation S-K that are designed to both modernize and simplify the disclosure requirements for investment companies, public companies, and investment advisers. The object is to make it easier for them to access and analyze material information while doing away with unnecessary… Read More »
The Risks of Trading Based on the Use of Social Sentiment Investing Tools
In a recent Investor Alert, the U.S. Securities and Exchange Commission’s Office of Investor Education and Advocacy and the Financial Industry Regulatory Authority (FINRA) warn investors against the potential risks of using social media as the basis for trading and the perils of social sentiment investment tools. What are Social Sentiment Investing Tools? Social… Read More »
What are EDGAR Filings in Florida?
EDGAR is the Electronic Data Gathering, Analysis, and Retrieval system, which is an online program through the United States Securities Exchange Commission (SEC). EDGAR is used to perform automated tasks like collecting, validating, indexing, accepting, and forwarding of submissions from companies and other entities that are required to file forms with the SEC. The… Read More »
SEC Votes to Consider Expanding “Testing the Waters” Process for Potential Issuers
Recently, the Securities and Exchange Commission held a vote to determine whether or not to expand its current “test-the-water” rules that would allow prospective stock issuers more time to interact and engage with their potential investors. Under the original plan, only emerging growth companies, or EGCs, could enjoy this option, while companies that have… Read More »