Free eBooks and Guides for Public and Privately-funded Companies

IPO Guide

The comprehensive IPO guide for private companies looking to go public.

Guide for Board of Directors Duties by State

A list of the Board of Director duties required by State for holding shareholder meetings.

Annual Meeting Guide

This guide is designed for companies looking to run their own shareholder meeting including compliance, setup, etc.

SEC Filing Deadline Calendar

Download the Latest SEC Filing Calendar with SEC Holidays and EDGAR Filing Deadlines

Guide for the Best Options for Raising Capital for Small Public Companies

A guide for raising capital for small public companies.

How to Create a Successful Marketing Campaign for your Crowdfunding Offering

A guide on how to create a successful marketing and advertising campaign for your equity crowdfunding offerings.

Guidance On Confidential Treatment In SEC Filings

This guide includes information on how to file confidentially to the SEC.

OTC Markets Taking Over 15c2-11 Application Process

What to expect when OTC Markets takes over the 15c2-11 process.

Guide to Utilizing Exceptions to Exchange Act Registration

Private companies can take advantage of exceptions to Exchange Act Registration which would require SEC filings.

Template S-Corp Transfers

Is an IPO right for you? - Video

Doing an initial public offering at the right time should be a calculated decision. This video explains if you are ready.

What Are EDGAR Filing Codes?

SEC EDGAR filing codes are required to submit forms by EDGAR filing agent and access specific online tools and websites through the EDGAR system

What Are Restricted Stock Units?

Restricted stock units, or RSUs, are a form of compensation issued to an employee by his or her employer

What Is an EDGAR Filing?

EDGAR filing is a comprehensive filing system created by the Securities and Exchange Commission to manage all corporate filings.

What is the Form ID?

A Form ID is required to submit documents to the SEC.

Why does the SEC Form 5 filing need to be filed?

SEC Form 5 must be filed if the company executives, directors, or officers have executed securities transactions during the year.

Why does the SEC Form 4 filing need to be filed?

SEC Form 4 must be filed with the SEC whenever there is a change in the holdings of company insiders.

How Long Does It Take To Get a NYSE Listing

There are several requirements that companies need to meet before they can apply for a listing on the NYSE.

What Makes a Great CEO

A CEO is someone with the highest rank in a business company but what makes him or her a great CEO? That is the real question that we would like to explore.

What is equity crowdfunding vs traditional crowdfunding?

Equity crowdfunding allows companies to raise money online from investors in exchange for ownership unlike Traditional crowdfunding.

7 Danger Signs a Stock Might Be Getting De-Listed

A company has to stay compliant with all exchange rules and SEC regulations. If not, the stock could end up being delisted.

Where do I get a Medallion Signature Guarantee?

A helpful guide on where to get a Medallion Signature Guarantee in the United States and outside.

iXBRL Filings: What Are They and When Are They Mandatory?

The goal of iXBRL filings is to make sure that all forms and documents filed with the SEC are not only compatible with the system but also easy to categorize and organize.

How Long Does it Take To Get an OTC Listing?

In general, it takes a company between 6 and 12 months to get listed on the OTC Markets. The exact timeline can vary depending on a number of factors.

How Long Does it Take To Get a NASDAQ Listing?

There are several sets of requirements that companies need to meet to be traded on the NASDAQ and the listing process can take anywhere from a month to a year.

What Are the Benefits of an Employee Stock Purchase Plan for Issuers?

Employee Stock Purchase Plan (ESPP) provides a wide variety of benefits not only for employees but also for businesses. Contact Colonial Stock Transfer to learn more about how to set up your ESPP.

Restricted Stock Units vs. Stock Options

Offering company stock is a great way to reward employees for their performance but think carefully about which is best for your company.

4 Ways to Improve Shareholder Meetings

Shareholder meetings have always been essential, but recent events have led to many changes in how companies hold their annual meetings. Here are some of the ways businesses can improve their practices.

How Does an Employee Stock Purchase Plan Work?

The calculation of an employee stock purchase plan depends on the stock price, specific regulations within the company, and other guidelines as discussed here.

How Companies Can Maximize their Virtual Shareholder Meetings

It is important for companies to comply with all relevant regulatory requirements while finding ways to engage with shareholders during virtual meetings by following some key steps.

What is Rule 144 restricted stock?

Rule 144 is a set of SEC guidelines dictating how restricted or unregistered securities can be sold or resold by all types of sellers.

A Transfer Agent’s Role in an IPO

Taking your company public comes with new regulations and laws you need to follow. That is where a Transfer Agent can be helpful.

5 Tips to Avoid Escheatment for Issuers

There are a few escheatment tips that companies can follow to help their shareholders avoid securities escheatment and the escheatment of stocks.

12 Most Successful OTC Stocks and their Innovative Products from since 2000

There are plenty of OTC gems worthy of your investing dollars. Let's look at some of the top innovators in the OTC market since the start of the millennium.

Calculate the Discount Rate for DCF and DDM Stock Valuations

Calculate Stock Valuation using Discounted Cash Flow (DCF) and Dividend Discount Model (DDM)

The Unseen Dangers of Not Having a Stock Transfer Agent

A stock transfer agent is a third party acting on behalf of a company or mutual fund. These professionals add value and reduce risk by proficiently handling many tasks.

How to Beat the Fear of a Stock Market Crash for Public Companies

Many investors fear that their investments will tumble during a stock market crash. Here we look at these fears in-depth and how they can dissipate through knowledge and common sense.

Compliance Deadlines For Nasdaq Board Diversity Rules

Outrageous Proxy Meeting Fees and How They Could Impact You

On the surface, proxy meeting fees appear to be somewhat of a necessary evil. However, these fees are climbing as time progresses.

Free eBooks for Public and Privately-funded Companies