As a legal professional, it’s important to stay up-to-date on the SEC’s executive compensation rules that govern public companies. Failure to comply with these rules can result in significant legal …
What is a 10-K and Why Should You Care?
A 10-K is an annual report filed with the Securities and Exchange Commission (SEC) by a publicly traded company. It provides a comprehensive overview of the company’s business and financial condition, …
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The IPO: Form S-1 vs. Form F-1
Preparing for an initial public offering (IPO) is a complex process that requires careful planning and execution. One of the key components of an IPO is filing a registration statement with the …
Implications of United States Broker-Dealer Regulations on Securities Tokens Transactions
Introduction Security token transactions have become rather common in day-to-day operations with regard to both initial private and public offerings and secondary markets. As a result of the active …
Sichenzia Ross Ference Kesner LLP Partner Henry Nisser Interviewed by FinOps Report About Improper Handling of ADRs
Press Release – New York, NY – February 1, 2017 – Sichenzia Ross Ference Kesner LLP partner Henry Nisser was interviewed by the FinOps Report in its article titled “Pre-Release ADRs: More SEC Fines on …
Whistleblower Earns $3.5 Million Award for Bolstering Ongoing Investigation
The Securities and Exchange Commission today announced a whistleblower award of more than $3.5 million to a company employee whose tip bolstered an ongoing investigation with additional evidence of …
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