What is SVP? The Signature Validation Program is a plan designed to provide protection against fraud and forgery for non-securities transactions that are not covered under section 306 of the UCC. SVP Stamps are used across the investment industry to protect shareholder accounts from unauthorized maintenance or non-financial requests. How does SVP work? An officer […]
Micro-Cap Fraud
Micro-cap stocks are shares in companies that are not well-established, have a small number of shares in public hands (“thinly traded” shares) and often trade at less than $5.00 per share. The SEC is concerned about implementing new rules and regulations on micro-cap companies due to the potential increase in fraud. A majority of brokers […]
Mandatory Auditor Rotation
The Public Company Accounting Oversight Board recently held a series of three roundtables on Mandatory Auditor Rotation. PCAOB believes that questions persist about whether more can and should be done to enhance auditor independence, objectivity and professional skepticism. Proposals are being considered both within and outside the U.S. for measures such as regulation of engagement […]
Proxy Season Overview
What We Learned in 2012 and What We Can Expect in 2013 At the recent MSTA conference, Carl Hagberg of Carl T. Hagberg & Associates and John Ferguson of Morrow & Co. LLC presented an open dialogue regarding the past proxy season as well as strategies for next year. Here is a synopsis of their […]
Trends in Employee Benefits
Thanks to regulatory changes, 2012 is seeing some important modifications to ERISA (Employee Retirement Income Security Act) laws. Those changes will hopefully help ERISA pension plan participants and participants in company-sponsored employee savings plans better understand how those plans are managed. Along with the increased transparency surrounding the selection and monitoring of service providers, the […]
Dematerialization White Paper Part 2 – Industry Response
The Depository Trust & Clearing Corporation, DTCC, recently published a white paper on dematerializing physical securities. This paper launched the final stage in the industry’s long-standing campaign to achieve full dematerialization in the U.S. financial markets. It also opened a formal discussion among industry stakeholders to gain consensus on critical next steps. In an effort […]
Dematerialization White Paper Part 1 – What’s It All About?
The Depository Trust & Clearing Corporation (DTCC), recently published a white paper on dematerializing physical securities which launched the final stage in the industry’s long-standing campaign to reduce risks and costs, boost efficiencies and enhance the competitiveness and security of the U.S. capital markets. It also opened a formal discussion among industry stakeholders to gain […]
JOBS Act: Draft Registration Statements to Be Filed on EDGAR
Last June, the SEC announced that they were building an EDGAR-based system through which certain Emerging Growth Companies and foreign private issuers could submit draft registration statements for non-public and confidential review. In late September, the SEC announced that draft registration statements could be filed on EDGAR starting Monday, October 1st using submission form types […]
SEC Filing Fees Going up
The Securities and Exchange Commission announced that in fiscal year 2013, the fees that public companies and other issuers pay to register their securities with the Commission will be set at $136.40 per million dollars, a 19% rate increase. While this 19% leap on its own is a pretty hefty price hike, when you take […]
Print Apply iPhone App – News You Can Use
Print professionals and graphic designers now have their own App. In early July, Premedia Pros announced the launch of its first iPhone app, Print Apply. Print Apply allows print professionals and graphic designers instant access to a variety of information. The application, designed by Premedia Pros Owner, Robert Hunt, gives graphic professionals the data they […]
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