- 47
- 72 512
Colonial Stock Transfer
United States
เข้าร่วมเมื่อ 29 พ.ค. 2014
Colonial Stock Transfer Company, Inc. (“Colonial”), a stock transfer agent located in the U.S., provides transfer agent and issuer compliance services to public companies listed on the NYSE, NASDAQ, and OTC exchanges and offers a full suite of services for privately‐held entities. Colonial provides first class transfer agent services combined with cost saving efficiencies through both "a la carte" and fixed pricing plans to help large and small issuers save money.
At Colonial, you will find our highly trained and friendly team to be a refreshing experience. Since our opening in 1987, we have maintained turnaround times that are well above the industry standards at one business day. Colonial provides issuers and shareholders the most professional, cost effective and innovative services in the industry by going beyond standard transfer agency agendas and incorporating a more personal touch with competent, efficient employees and unmatched customer service.
At Colonial, you will find our highly trained and friendly team to be a refreshing experience. Since our opening in 1987, we have maintained turnaround times that are well above the industry standards at one business day. Colonial provides issuers and shareholders the most professional, cost effective and innovative services in the industry by going beyond standard transfer agency agendas and incorporating a more personal touch with competent, efficient employees and unmatched customer service.
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
------------------
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.
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
------------------
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.
มุมมอง: 214
วีดีโอ
How To Remove Your Restrictions On Your Stock
มุมมอง 3839 หลายเดือนก่อน
In the current video, we focus on the process of removing restrictions on your stock, aiming to make deposits into a brokerage account a smoother affair. As per the Securities and Exchange Commission (SEC), securities need to be registered or must qualify for an exemption before they can be sold, with Rule 144 restrictions being a common aspect. Other restrictions could be those that are under ...
Cost Basis Reporting Requirements for all U.S. Companies
มุมมอง 1569 หลายเดือนก่อน
In our video today, we discuss a central requirement for all U.S. companies: delivering cost basis reporting to shareholders in accordance with the rules of the Internal Revenue Service (IRS). We demystify the complexities of IRS cost basis reporting and emphasize its role in promoting financial transparency. We bring attention to the crucial role of stock transfer agents in efficiently managin...
5 Common Pitfalls in an IPO
มุมมอง 949 หลายเดือนก่อน
Are you contemplating an initial public offering (IPO) for your company? An IPO can be a landmark event, providing access to capital and driving growth. However, it's not without its potential pitfalls. In our video today, we are going to address five common pitfalls of an IPO and how you can circumvent them. 1. Finding Adequate Underwriters: The process of securing underwriters can be a daunti...
How Do I Trade My Pre IPO Shares After an IPO
มุมมอง 2809 หลายเดือนก่อน
How Do I Trade My Pre-IPO Shares After an IPO Welcome to an enlightening guide on how to trade your Pre-IPO shares following an IPO. In this video, we uncover the complexities of this journey and guide you through the various stages, including understanding S-1 and 1-A filings, dealing with trading restrictions and transferring shares to your broker. Discover essential insights and expert advic...
How Do I Deposit My Shares Into a Brokerage?
มุมมอง 1.1K10 หลายเดือนก่อน
Join us for an in-depth exploration on depositing your shares into a brokerage account. This video covers everything from understanding the DRS and DWAC methods, dealing with restrictions, and the differences between major stocks and penny stocks. Whether you're new to trading or looking for a refresher, this video is your comprehensive guide to successfully managing your investments. Remember,...
Stock Transfer Agent vs Stock Broker What are the Difference
มุมมอง 3.4Kปีที่แล้ว
Dive into the key differences between transfer agents and stockbrokers. Understand the responsibilities and services provided by each, including record keeping, cap table management, portfolio advice, and execution of trades. Learn how these two distinct roles interact in the financial landscape to facilitate transactions and record keeping. If you're a public or private company looking for a s...
How to Remove a DTC Chill or Global Lock?
มุมมอง 95ปีที่แล้ว
Facing a DTC Chill or Global Lock on your securities can be a challenging situation. In our comprehensive video, we unpack why these regulatory actions could occur, how they can impact your company, and what steps you should take to restore normal operations. We delve into reasons ranging from legal, regulatory, or operational concerns to potential involvement in unregulated stock sales or pump...
What is a Reg D Offering and Why should you consider it?
มุมมอง 754ปีที่แล้ว
If you're a company looking to raise capital, you're faced with numerous options. You might be considering going public, but have you weighed the paperwork involved against a more streamlined private Regulation D offering? This video outlines the significant aspects and advantages of a Reg D offering, such as simplified SEC disclosures, avoiding the full public company requirements, saving on s...
Medallion Signature Guarantee Stamp Insurance Protection and Limits
มุมมอง 8Kปีที่แล้ว
In this video, discover the importance of obtaining a medallion signature guarantee for specific securities transactions and its role in safeguarding shareholder accounts. Learn about the process involved in obtaining a medallion signature guarantee, including the necessary documentation and proof of authorization. Gain an understanding of the guarantor's responsibility in verifying the signatu...
What is a Notice and Access Shareholder Meeting?
มุมมอง 153ปีที่แล้ว
Learn how to effectively communicate with shareholders as a publicly traded company in this video. We delve into the use of Notice and Access, a method that enables companies to share proxy materials and important information online with shareholders. By utilizing Notice and Access, companies can save money, reduce their environmental impact, and efficiently communicate with shareholders. Explo...
What is a Proxy Voting Card and how do you use it?
มุมมอง 2.8Kปีที่แล้ว
Discover the world of proxy voting cards and their significance in corporate decision-making in this insightful video. Learn about the purpose of a proxy voting card and gain a comprehensive understanding of the topics addressed in a proxy statement. We use a hypothetical merger and acquisition proposal as an example to demonstrate the importance of proxy votes. By the end of this video, you'll...
Rachel's Story - Her Investor Experience at Colonial Stock Transfer
มุมมอง 317ปีที่แล้ว
Watch Rachel's story as an institutional investor and her positive experience with Colonial Stock Transfer. As an investor in micro cap companies, Rachel relies on Colonial Stock Transfer to help manage her stock transactions efficiently. With Colonial's online platform, Rachel can easily make adjustments, receive live support, and utilize electronic transfers for trading and transferring stock...
Differences between Medallion Signature Guarantee and Notary Stamps
มุมมอง 6K2 ปีที่แล้ว
Discover the differences between a Medallion Signature Guarantee and a Notary Seal in our latest video. Learn about their roles in preventing fraud, where to obtain them, and the transactions that require them. Understand the insurance protections offered by these seals and how they function. Whether you're transferring securities, finalizing contracts, or dealing with other formal documents, t...
What is DTC FAST?
มุมมอง 1.4K2 ปีที่แล้ว
Explore the necessity of the DTC FAST and DRS system for public companies in our latest video. Follow the story of Jones and Company as they navigate the process of securing DTC FAST eligibility with the help of Colonial Stock Transfer. Learn about the benefits of this system, including faster transfers, reduced costs, and improved investor satisfaction. Understand how the system ultimately aid...
Cap Table Management vs Stock Transfer Agent
มุมมอง 5872 ปีที่แล้ว
Cap Table Management vs Stock Transfer Agent
Understanding Dilution in your Cap Table
มุมมอง 2.4K2 ปีที่แล้ว
Understanding Dilution in your Cap Table
What Officer Roles are Needed in Public and Private Corporations
มุมมอง 4432 ปีที่แล้ว
What Officer Roles are Needed in Public and Private Corporations
Why Startups should focus on their Cap Table
มุมมอง 6482 ปีที่แล้ว
Why Startups should focus on their Cap Table
What is the difference between DWAC and DRS?
มุมมอง 2.5K2 ปีที่แล้ว
What is the difference between DWAC and DRS?
SEC Rule 144 and Removing Restrictions on Securities
มุมมอง 12K2 ปีที่แล้ว
SEC Rule 144 and Removing Restrictions on Securities
Thank you very much for this. It's the best explanation seen on the subject so far.
How do I register with FCC how do I get a PIN number and a ID number
Joshuah Vista
Own your own shares!! Hold your own certificates with Computer share!!
Sir it is possible to raise unsecured funds through 144
Thanks a lot
Thank you
I literally just want to pull my 401k, you know the thing i paid into...
So do non insiders not have to wait 6 months ?
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.
I had to get a medallion stamp from my local credit union when I opened a Treasury Direct account.
*Promo SM* ☀️
Great content! What are some of the bank names or where to search for specific banks listings?
I've gotten one from Navy Federal before
@@FanxyGetMoney Thank you so much for responding. What was base limit?
@Paparazzionsite Of course 😉 I'm not completely sure, but if memory serves me correctly, it started with a "Y"
@@FanxyGetMoney Thank you 💯
What else can you do with it
need more I need to create a table showing the dilution to share holders with a new equity investment
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.
Prying for you
How did it go after filming was turned off I would love to get in zoom course
*promo sm* 💯
i hear you and pratice this
What about international customers who own stocks in a company?
Excellent
Can you tell me who is an affiliate according to 144
We will create a new video on this soon, stay tuned.
I AM MANDATE FOR DTC CONTRACT.......I AM LOOKING FOR RECEIVER
Are you able to transfer private securities?
Wonderfully explained and a very good insights for first timers like me. Thank you
Learn how maritime Admiralty law works as well 🤣
Stock transfera. Age;ent
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
❤🌹 God bless you 🙏🙏!! Become an online boss - "Promosm" .
If a stock was naked shorted, would a transfer agent know?
Nice. The secret to YT success = Promo>SM !!
I think you need to correct the sentence in your intro. "needed for you and your and shareholders" Just delete the second "and".