SEC Action Regarding False Press Releases I recently came across an older litigation release where the SEC charged a company and its CEO with making false press releases. I wanted to take a closer look at this regulatory action…
Author: coralcapital
Erik Nelson is the co-founder and President of Coral Capital Partners, Inc. an Atlanta based consulting and advisory services firm. Coral Capital Partners was founded in 1995 and has been providing consulting services to both privately held and publicly traded companies since its inception. Mr. Nelson has served as an officer and director of numerous publicly traded companies in various capacities as part of the services provided by Coral Capital Partners to its clients. Mr. Nelson is a graduate of the University of Colorado.
Gifting of Shares – Do Not Do It !
The gifting of shares of stock prior to taking a small cap company public can seem like a good idea. However, in reality it causes significant problems that can easily be avoided. In this blog post we take a look at those issues and how they can easily be avoided.
FINRA Adopts New Electronic Form 211
FINRA recently published Regulatory Notice 17-26, mandating the use of the electronic Form 211. Beginning on October 23rd, 2017, firms must begin using the electronic Form 211, instead of the current paper submissions. What this does is effectively eliminate the current process of submitting the information required pursuant to SEA Rule 15c2-11 by way of a paper submission.