Corporate Finance Center

SEC Enhances EDGAR System Security with New Filer Management Dashboard

SEC Introduces EDGAR Next to Streamline Access and Security Washington, D.C., March 6, 2025 – The Securities and Exchange Commission (SEC) has launched comprehensive guidance and resources to assist filers in navigating upcoming access and account management enhancements to the Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system. Starting March 24, 2025, filers can access the new ...

SEC Announces 44th Annual Small Business Forum to Impact Capital-Raising Policy

Washington, D.C., Feb. 14, 2025 — The Securities and Exchange Commission (SEC) is set to host the 44th Annual Government-Business Forum on Small Business Capital Formation at its headquarters in Washington, D.C. This pivotal event will take place on April 10 from 1:00 to 4:30 p.m. ET, bringing together stakeholders from both public and private ...

SEC Small Business Advisory Committee to Continue Discussing Challenges Facing Emerging Fund Managers, and Explore Hurdles for Small Public Companies Not Listed on a National Securities Exchange

Here’s your SEO-optimized, rewritten article: SEC Small Business Capital Formation Advisory Committee Announces February 2025 Meeting Washington, D.C., January 30, 2025 — The Securities and Exchange Commission (SEC) Small Business Capital Formation Advisory Committee has unveiled the agenda for its upcoming meeting on February 25, 2025. This session will focus on the capital-raising hurdles faced by emerging ...

What Happens If I Ignore an SEC Subpoena?

Anyone who follows our blog or website knows one thing. The SEC Enforcement Division is getting tougher on financial firms. They are also getting tougher on investors and issuers. When you are served with an SEC subpoena, you know that they are not fun to deal with. But you must deal with it. Even if you ...

SEC Small Business Advisory Committee to Explore Recent Changes to U.S. Small Business Administration’s Small Business Investment Company Program

The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Tuesday, July 30, 2024, which will include an exploration of recent changes to the U.S. Small Business… SEC Press Release

What Does a Securities Lawyer Do?

Mark J. Astarita, Esq. is a nationally recognized securities attorney, representing clients in securities investigations, arbitrations and litigation matters across the country. You can contact him at 212-509-6544 or by email at mja@sallahlaw.com Securities law is a specialized field of law encompassing various types of securities lawyers. Transactional securities lawyers assist companies with capital raising, stock ...

SEC’s OMWI FY 2023 Annual Report Highlights the Agency’s Diversity, Equity, Inclusion and Accessibility Initiatives and Progress

As part of its continuing efforts to promote diversity, equity, and inclusion with regulated entities, the Securities and Exchange Commission’s Office of Minority and Women Inclusion (OMWI) published two reports: the 2022 Diversity Assessment Report for… SEC Press Release

Deciphering Form 10-K and 10-Q

For investors aiming to understand or invest in U.S. public companies, the annual reports on Form 10-K and the quarterly reports on Form 10-Q are invaluable resources. These documents offer an in-depth view of a company’s operations, the challenges it faces, and its financial performance over the year or quarter. Additionally, they provide management’s insight ...

Introduction to Form 8-K

Lawyer Form 8-K: A Comprehensive Guide for Investors In the realm of finance, staying abreast of the latest corporate developments is crucial for investors aiming to make well-informed decisions. Whether it’s a company unveiling its quarterly earnings, another grappling with auditor concerns that might signal trouble, or a third navigating the complexities of bankruptcy, a key resource ...

Van Eck Fined for Secretly Paying Bar Stool’s David Portnoy.

The Securities and Exchange Commission announced that registered investment adviser Van Eck Associates Corporation has agreed to pay a $1.75 million civil penalty to settle charges that it failed to disclose a social media influencer’s role in the social media influencer’s role in the launch of its new exchange-traded fund (ETF). The SEC’s press release and ...