Corp Finance

Compliance Corp Finance

Forms 3, 4 and 5

What is a Form 3? The federal securities laws require certain individuals (such as officers, directors, and those that hold more than 10% of any class of a company’s securities (“insiders”) to report purchases, sales, and holdings of their company’s securities by filing Forms 3, 4, and 5. When a […]

Brokers Corp Finance Investors

EDGAR – The SEC Public Company Database

EDGAR—The Electronic Data Gathering, Analysis, and Retrieval system is a database system used by the SEC that requires all public companies and certain individuals to submit required, time-sensitive documents to the U.S. Securities and Exchange Commission. The database is a trove of information regarding public companies, their financials, quarterly filings, […]

Whistleblower independent analysis
Brokers Corp Finance Investors Primer Private Placements

Can a Non-Citizen Be An Accredited Investor?

There is no residency or citizenship requirement in the definition of an accredited investor. Many entities and individuals are accredited investors. Rule 501 of Regulation D defines the term. For individuals, accredited investors include: Any director, executive officer, or general partner of the issuer of the securities being offered or sold, or any director, executive officer, […]