Financial Transactions and Regulatory Compliance Review

Covering the latest in capital markets transactions, funds, annuities, financial reporting and SEC filings

Tips for Equity Crowdfunding and Investing

The internet has changed the way people invest, from paying in advance for a cool game, gadget, or project on Kickstarter, to funding creative lifestyles on Patreon, to buying shares in a new business with equity crowdfunding. Thanks to SEC Regulation A+, companies can now raise up to $50 million in capital using crowdfunding, opening investment opportunities up to every American who wants to back a business he or she would like to support.

Equity crowdfunding allows private companies to offer equity to early investors in exchange for capital for a startup or small business. Crowdfunders purchase a share in the company commensurate to their investment, and reap the benefits if the business is successful and their equity rises in value. Here are some tips to help companies to raise their crowdfunding game and help investors to recognize which companies have their act together.

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Democrats Criticize SEC Chairwoman Over Political Spending Disclosure

On July 13, 2016, the Securities and Exchange Commission (SEC) proposed a new scorecard in which brokers would have to disclose if they fill stock orders from major investors. This is a move sure to please left-wing lawmakers, who believe government organizations like the SEC should be strict in their oversight of corporate disclosures, and require these disclosures to include any corporate spending that might influence Washington.

Indeed, this scorecard may be a way to allay Democratic concerns over the SEC’s current direction, expressed to Chairwoman Mary Jo White when she appeared before the Senate’s Committee on Banking, Housing, and Urban affairs on June 14.  Senators Charles Schumer (D-NY) and Elizabeth Warren (D-MA) were particularly hard on Chairwoman White, condemning her refusal to demand corporations disclose their political spending.

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XBRL US and SEC Agree on Inline XBRL Submissions for Public Companies

Financial reporting has come a long way with the advent of online forms and machine-readable filing languages. The eXtensible Business Reporting Language (XBRL) has been adopted by companies worldwide as the standard for sharing business information with one another and with their own and foreign governments. Since creating the language, XBRL International has worked to improve and streamline the way this information is submitted so that financial officers can spend more time doing business and less time reporting on business.

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Oil & Gas Bankruptcy Wave Catching Up to 2002 Telecom Bust

Nearly two years ago, crude oil cost over $100 a barrel. Since then, prices have dropped to below $27, and have stabilized at around $44 a barrel today. And while consumers enjoy lower prices at the pump, oil and gas companies have been suffering from one of the biggest bankruptcy waves in the history of the United States. Over 59 companies have filed for creditor protection as of late January 2016, closing in on the 68 bankruptcies by telecommunications firms during the telecom crisis of 2002.

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Big Deal! How 2016 is Shaping Up for M&A

When it comes to big deals, 2015 was a big year. According to Dealogic, more than $5 trillion in mergers and acquisitions took place between January 1 and December 31, making it the biggest year for M&A since before the worldwide financial crisis hit. Healthcare and technology led M&A deals in 2015 with over $723 and $713 billion respectively, and these fields have continued to dominate the deals so far in 2016.

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Preparing for an IPO? Three Key Considerations

Few points in a company’s growth are as pivotal as the initial public offering (IPO). Going public can launch a business to new heights of success and expansion, but only if the process is managed and prepared for with the utmost care.

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Surprise! Important Disclosure Changes in New Transportation Law

Occasionally, things in the world of finance are straightforward. The rest of the time, situations unfold like this: a new law called the Fixing America’s Surface Transportation Act (FAST Act) goes into effect and does much more than just make the roads smoother.

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Pay Attention: Key Developments for the 2016 Proxy Season

The smallest details can make the biggest impact, for better or worse. The challenge as a new proxy season approaches are that while the process mainly stays the same year after year, the small changes in nuances and particulars are often pivotal, yet hard to detect until late in the game.

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The Truth Behind 7 Common XBRL Myths

eXtensible Business Reporting Language (XBRL) is one of those systems that can be powerful and useful, yet intimidating and frustrating. In its short history, XBRL has inspired its own myths about how it does, or does not work. Since everyone benefits from the truth, we have set out to examine seven common misconceptions of XBRL and compare them to reality.

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4 Financial Printing Situations Your Boss Expects You to Handle

Everyone wants the complex process of financial printing to be as easy to manage as possible. No one, however, wants this more than your boss. That’s where you come in. Since you are so great at your job, your boss comes to you when financial printing tasks might pose a challenge.

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The Financial Printer Redefined: How the Printer Can Help With Compliance and Filing

There are at least two major challenges that every financial printing job must face:

  1. Are the correct words and data going to the right people?
  2. Does the final product meet all of the relevant regulatory requirements?
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Working With A Financial Printer in the Digital Age

By almost any measure, the future is now… We watch movies on devices that we hold in our palms while sitting in the park. Few people actually fly to the office, but business processes that used to take an entire office staff weeks to complete can be now be accomplished by a just few people in a matter of days. Which leads us to the topics of paper and working with financial printers.

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