Tag Archives: SEC

Is my Advisor a “Finder” or a “Broker”? Avoiding the Pitfalls of Raising Capital Using Unlicensed Broker-Dealers

advisor
Companies seeking to expand operations often face numerous challenges.  One such challenge is raising the capital necessary to make such an expansion possible.  When a company sees an expansion opportunity but does not have the financial resources on hand or readily available (cash, available bank debt, etc.) to make it happen, other avenues of financing … Continue reading this entry

Sustainability Reporting Trends in the New Year – ’16 going on ‘17

If you’re feeling uncertain or confused about the future of sustainability reporting in the United States, you’re not alone. With the business world’s adoption of sustainability reports moving full steam ahead—and increasing hunger for such information and transparency from global consumers and investors—the new Trump administration is going in a completely different direction. This blog … Continue reading this entry

Addressing Climate Change in SEC Filings and Other Public Disclosures: What These Disclosures Mean for Businesses

Regulatory agencies are focusing on required climate change-related disclosures in securities filings and other public disclosures, seeking to ensure not only that such disclosures are made, but also that they are supported by adequate evidence, consistent with other public statements, and sufficiently specific with respect to the disclosing entity’s business. Companies making such disclosures should … Continue reading this entry