Clarifying SEC Form 144 filing requirements
Understanding the complexities of selling securities, particularly restricted and controlled securities, can be challenging. Although Form 144 is crucial for...
Corporate Compliance
Articles
What is SEDAR+?
The new platform is designed to better support how issuers, SEDAR+ filing agents and data consumers file, disclose and access...
SOX compliance: 4 key considerations for 2023
Elizabeth Epler Jones, Partner at AXIA Partners, details the impact of the PCAOB’s standards-setting agenda and what that means for...
Elizabeth Epler Jones, CPA - Partner, AXIA Partners
Tailored Shareholder Reports: 6 things to consider before your first filing
In January 2023, the U.S. Securities and Exchange Commission (SEC) finalized new rules and amendments related to how mutual fund...
Guy Stanzione - Director, SEC Compliance Services
Rule 10b5-1, Insider Trading: Form 4 and 5 disclosure changes and Form 144 deadline extended
Insider Trading Arrangements and Related Disclosures, a new SEC rule, implements cooling-off periods for directors and officers to minimize potentially...
Jennifer Froberg - Sr SEC Product Specialist
Guidance from the SEC for new Pay versus Performance tables
The SEC staff recently issued 15 interpretations (see Sections 128D and 228D) relating to its new Pay versus Performance (PvP) rules.
ESEF iXBRL block tagging is here. What does that mean for you?
After implementing iXBRL tagging of face financials last year as part of the initial requirements of the ESMA ESEF mandate,...
Bartek Czajka - Director of XBRL Consulting Services
What are the updates to the “glossy” annual report filing requirements?
On June 2, 2022, the Securities and Exchange Commission (SEC) passed a final rule that requires filers, beginning Jan. 11,...
ESG Helps Emerging Companies Add Value and Reduce Risk
Under the administration of President Biden, the SEC will probably consider requiring disclosures in several environmental, social, and governance (ESG)...
SEC filing form types: 7 SEC forms you should know
Although there are dozens and dozens of forms and schedules listed by the SEC, when it comes to Capital Markets...