Colonial Stock Transfer
Colonial Stock Transfer
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Insider Affiliate in a Public Company
Welcome to our latest video where we shed light on one of the most crucial terms in the Securities Exchange Act of 1933 - the 'affiliate'. We take you through the intricate details of affiliate roles as per SEC Rule 144 and Regulation D for an enhanced comprehension and understanding.
The term 'affiliate' according to SEC Rule 405 refers to an individual or an insider with a controlling relationship. Examples of affiliates can be a corporate officer or a shareholder who owns 10% or more of the company's stock and has an influence on the company's management.
Case studies such as Wolfson Gregory W. Gray help us understand that the interpretation of 'control' can vary on a case-by-case basis. Misrepresentation of affiliations can lead to legal ramifications.
While a 10% ownership is a hallmark of control, the individual circumstances are also a significant factor. Cases like Penaluna and Co v. SEC have broadened the definition of affiliates, thereby emphasizing the role of controlling shareholders.
In accordance with the Securities Exchange Act, securities that are issued to affiliates are required to have the right legends. We advise you to consult with a legal counsel in case of any queries.
Thank you for tuning in!
#SecuritiesExchangeAct, #AffiliateRoles, #corporategovernance
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Colonial Stock Transfer is a cap table management and stock transfer agent provider that helps companies track their investor records. We also provide other services such as SEC and regulatory form filings, press release distribution, IPO services, proxy voting, dividend payments, and more. Please visit our website at www.colonialstock.com to learn more.
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ความคิดเห็น

  • @mogeconomics
    @mogeconomics 9 วันที่ผ่านมา

    Thank you very much for this. It's the best explanation seen on the subject so far.

  • @alvinafinley293
    @alvinafinley293 หลายเดือนก่อน

    How do I register with FCC how do I get a PIN number and a ID number

  • @DavyHoney-e4i
    @DavyHoney-e4i 2 หลายเดือนก่อน

    Joshuah Vista

  • @naskieboo
    @naskieboo 3 หลายเดือนก่อน

    Own your own shares!! Hold your own certificates with Computer share!!

  • @PavanKumar-qt9ru
    @PavanKumar-qt9ru 3 หลายเดือนก่อน

    Sir it is possible to raise unsecured funds through 144

  • @granvilleemmanuel117
    @granvilleemmanuel117 4 หลายเดือนก่อน

    Thanks a lot

  • @greatone2717
    @greatone2717 5 หลายเดือนก่อน

    Thank you

  • @wickeddodgeboys6603
    @wickeddodgeboys6603 6 หลายเดือนก่อน

    I literally just want to pull my 401k, you know the thing i paid into...

  • @skylortremblay2617
    @skylortremblay2617 6 หลายเดือนก่อน

    So do non insiders not have to wait 6 months ?

  • @AbdielMorales-rb2qv
    @AbdielMorales-rb2qv 7 หลายเดือนก่อน

    Doing all this only brings third party into your property...so in the end you'll never be the sole ownership of anything you bring a third party to.

  • @stephengilstrap
    @stephengilstrap 7 หลายเดือนก่อน

    I had to get a medallion stamp from my local credit union when I opened a Treasury Direct account.

  • @mitchellmayo4351
    @mitchellmayo4351 7 หลายเดือนก่อน

    *Promo SM* ☀️

  • @Paparazzionsite
    @Paparazzionsite 8 หลายเดือนก่อน

    Great content! What are some of the bank names or where to search for specific banks listings?

    • @FanxyGetMoney
      @FanxyGetMoney 8 หลายเดือนก่อน

      I've gotten one from Navy Federal before

    • @Paparazzionsite
      @Paparazzionsite 8 หลายเดือนก่อน

      @@FanxyGetMoney Thank you so much for responding. What was base limit?

    • @FanxyGetMoney
      @FanxyGetMoney 8 หลายเดือนก่อน

      @Paparazzionsite Of course 😉 I'm not completely sure, but if memory serves me correctly, it started with a "Y"

    • @Paparazzionsite
      @Paparazzionsite 8 หลายเดือนก่อน

      @@FanxyGetMoney Thank you 💯

    • @malikmiles9552
      @malikmiles9552 6 หลายเดือนก่อน

      What else can you do with it

  • @drfredmccall
    @drfredmccall 9 หลายเดือนก่อน

    need more I need to create a table showing the dilution to share holders with a new equity investment

  • @jtm0071
    @jtm0071 10 หลายเดือนก่อน

    HNRC... I have been following this stock for 3 years. It's only trading at 3 cents. It has several big announcements that are overdue. It's been up to 80 cents a little over a year ago. Don't forget that I told you.

  • @l-dont-really-know
    @l-dont-really-know 11 หลายเดือนก่อน

    Prying for you

  • @l-dont-really-know
    @l-dont-really-know 11 หลายเดือนก่อน

    How did it go after filming was turned off I would love to get in zoom course

  • @Skylar-iz3py
    @Skylar-iz3py ปีที่แล้ว

    *promo sm* 💯

  • @talltree9014
    @talltree9014 ปีที่แล้ว

    i hear you and pratice this

  • @SmartWizzard
    @SmartWizzard ปีที่แล้ว

    What about international customers who own stocks in a company?

  • @ZERO-CAPACITANCE
    @ZERO-CAPACITANCE ปีที่แล้ว

    Excellent

  • @SabineZwick-o4p
    @SabineZwick-o4p ปีที่แล้ว

    Can you tell me who is an affiliate according to 144

    • @Colonialstock
      @Colonialstock ปีที่แล้ว

      We will create a new video on this soon, stay tuned.

  • @AzShSaFe
    @AzShSaFe ปีที่แล้ว

    I AM MANDATE FOR DTC CONTRACT.......I AM LOOKING FOR RECEIVER

  • @NaturalSelection1776
    @NaturalSelection1776 ปีที่แล้ว

    Are you able to transfer private securities?

  • @phillipeggensh
    @phillipeggensh ปีที่แล้ว

    Wonderfully explained and a very good insights for first timers like me. Thank you

    • @aqoonqaate8109
      @aqoonqaate8109 ปีที่แล้ว

      Learn how maritime Admiralty law works as well 🤣

  • @teresahurst4256
    @teresahurst4256 ปีที่แล้ว

    Stock transfera. Age;ent

  • @cajunoneforchrist4545
    @cajunoneforchrist4545 ปีที่แล้ว

    Waiting on a Transfer Agent Statement. Louisiana Unclaimed property department says watch my mail closely. Important information coming. This is a gray Area for myself

  • @ariellarory8535
    @ariellarory8535 ปีที่แล้ว

    ❤🌹 God bless you 🙏🙏!! Become an online boss - "Promosm" .

  • @nickradic
    @nickradic 2 ปีที่แล้ว

    If a stock was naked shorted, would a transfer agent know?

  • @edgarleonard5952
    @edgarleonard5952 2 ปีที่แล้ว

    Nice. The secret to YT success = Promo>SM !!

  • @ajb5114
    @ajb5114 6 ปีที่แล้ว

    I think you need to correct the sentence in your intro. "needed for you and your and shareholders" Just delete the second "and".