Inc.com: Articles about U.S. Securities and Exchange Commission

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Jul 1, 1981

The definition of "small business" proposed by the Securities and Exchange Commission in its attempt to comply with the Regulatory Flexibility Act would a... Read story

What Venture Capitalists Want From You

By Edward F. Glassmeyer | Aug 1, 1981

Before they put money into your company, they want to be sure they can get it out. Here are some guidelines. Read story

IPO Alternatives: SEC Registration Exemptions

Nov 1, 1999

Sometimes, a company that needs more funding may not be quite prepared for an initial public offering. In such an instance, the company may consider a mor... Read story

IPO Basics: A Road Map

Nov 1, 1999

Registration Statement Before a company may offer its shares for sale, it must first file a registration statement with the Securi... Read story

IPO Basics: The Registration Statement

Nov 1, 1999

Registration statements have the following two principal parts: Part I is the prospectus, the legal offering or "selling" document. The "i... Read story

IPO Basics: Confidential Filings

Nov 1, 1999

Federal securities laws generally require any company that is publicly held or that is registering its securities for public sale to disclose a broad rang... Read story

New Stock Exemptions For Small Businesses

Oct 1, 1981

Protecting investors from themselves has been a prime Securities and Exchange Commission concern since its inception in 1934. But in the process, complic... Read story

What I Learned From Going Public

By Don J. Hindman | Jan 1, 1982

A successful entrepreneur says he would be a lot more careful the second time around. Read story

The Accounting Profession Vs. The Sec: When Is A Loan Not A Loan?

Mar 1, 1982

The proposed public offering of Hadron Inc. (see story) is not the only research and development limited partnership awaiting a decision from the Securiti... Read story

Equity Made Easy

By Andrew C. Saxlehner | Jul 1, 1982

The SEC's new Regulation D eliminates costly stock registrations for many small-company financings. Read story

The Earnings Management Crackdown

By Ralph Ward | Jul 9, 2001

The SEC is cracking down hard on corporate earnings management ? but is your board? Everything from abuse of special charges to stuffing the sales pipelin... Read story

Handy Online Audit " Financial Literacy" Test

By Ralph Ward | Aug 9, 2001

It's coming up on a year since the SEC and major stock exchanges started cracking down on "financial literacy" requirements for U.S. board audit committee... Read story

Why Getting a Loan Just Got Harder

By Jason Del Rey | Jan 21, 2009

Peer-to-peer lending websites have become popular among business owners, allowing them to borrow directly from individual lenders instead of banks. But thank... Read story

Accounting

Related Terms: Certified Public... Read story

Annual Reports

Related Terms: Balance Sheets ; Read story

Day Trading

The Securities and Exchange Commission (SEC) defines day trading as follows: "Day traders rapidly buy and sell stocks throughout the day in the hope that ... Read story

Direct Public Offerings

Related Terms: Initial Public Offerings... Read story

Employment Contracts

Employment contracts replace the normal hiring arrangement between employer and employee with a legal document in which the employment relationship is spe... Read story

Initial Public Offerings

Related Terms: Direct Public Offering ;... Read story

Investor Relations and Reporting

Related Terms: Financial Statements ; Read story

Press Releases

Related Terms: Public Relations Press releas... Read story

Private Placement of Securities

Related Terms: Initial Public Offerings... Read story

Pro Forma Statements

Pro forma , a Latin term meaning "as a matter of form," is applied to the process of presenting financial projections for a specific time period i... Read story

Proxy Statements

A proxy statement is, according to the Securities and Exchange Commission (SEC), "a document which is intended to provide security holders with the inform... Read story

Regulation D

Regulation D is a section of the U.S. federal securities law that provides the means for businesses to sell stock through direct public offerings (DPOs). ... Read story

Securities and Exchange Commission (SEC)

The U.S. Securities and Exchange Commission (SEC) is a federal agency responsible for administering federal securities laws that protect investors. The SE... Read story

The Transformation Of Wall Street, By Joel Seligman. Houghton Mifflin, 2 Park St., Boston, Ma 02108; 701 Pp., $27.50.

May 1, 1983

More than 100 pages of footnotes punctuate this large and doggedly scholarly work that documents just about every ruling made by the Securities and Exchan... Read story

Shell Games

By Bruce G. Posner | Aug 1, 1983

She sells seashells down by the seashore, as the famous tongue-twister goes. He, on the other hand, sells corporate shells in Salt Lake City and Denver, a... Read story

The 90 Mpn New Issue

Oct 1, 1983

If you think that the new-issues market has begun to resemble a truck caravan racing out of control, you might be interested in one of the more recent ent... Read story

In The Public Eye

Nov 1, 1983

Selling long-term debt in the bond market isn't a financing avenue for a company wishing to keep business details -- especially its numbers -- private. Ev... Read story

The Commercial Paper Chase And Other Adventures

By Bruce G. Posner | Mar 1, 1984

A New York insurer prepares to open the commercial-paper market to small companies; the SEC raises the ceiling on S-18 offerings; a Rhode Island company sell... Read story

Qa: Insider Trading

By John Case | Aug 1, 1984

Mention insider trading" to a friend at a cocktail party, and he or she is likely to look around to be sure no one is listening in. The phrase conjures u... Read story

Private Trading

By Robert A. Mamis | Apr 1, 1985

There's a lot of private company stock around. So where are the buyers? Read story

Caveat Emptor?;

By William Souder | Jun 1, 1985

WILL FEDERAL SECURITIES laws protect you from one of the worst business nightmares -- a fraudulent deal -- when you buy a company? For more than 50 ... Read story

Over-the-counter Culture

By Robert A. Mamis | Mar 1, 1987

Unless you're given to hanging out on the steps of the Securities and Exchange Commission and bribing postal workers, getting reliable data on companies t... Read story