Public companies enjoy greater access to capital and increased prestige. But it isn’t all sunshine and rainbows. Once a business officially becomes an SEC reporting company, it must start filing a variety of forms with the Securities and Exchange Commission (SEC). Here, we’ll tackle three essential SEC forms: 10-K, 10-Q, and 8-K. Annual Report on Continue reading
SEC
Which Companies Report to the SEC?
The Securities and Exchange Commission (the SEC) regulates public companies in the United States. Organizations subject to public reporting requirements must file all sorts of forms, including 10-Ks, 8-Ks, and Proxy Statements. But which businesses count as public companies? How Companies Go Public There are three ways companies become subject to SEC reporting. Section 12(b) Continue reading
The Difference Between Rule 506(b) and Rule 506(c) Private Placements
Are you thinking of raising money for your startup, investment fund, or real estate syndication? If so, be sure to remember the golden rule of securities law: every sale of securities must be (i) registered with the SEC or (ii) exempt from registration. Here, we’ll discuss Rule 506(b) and Rule 506(c) — two of the Continue reading
What Is a “Security” Under the Securities Act (And Why Does It Matter)?
Every sale of a security must be either (i) registered with the US Securities and Exchange Commission (the “SEC”) or (ii) exempt from registration. Sell a security without registration or an exemption and you’ll be in big trouble with the SEC. This fundamental rule applies to all kinds of securities offerings, from the sale of Continue reading
What Is an Accredited Investor? (And How to Become One)
Accredited investors get exclusive access to many of the most lucrative investments. But what is an accredited investor, and how do you become one? What Is an Accredited Investor? An accredited investor is an individual or entity that’s allowed to participate in certain investments that aren’t registered with the SEC (Securities and Exchange Commission). These Continue reading