Category Archives: Industry Events

Video now available: SEC Reporting & Filing in the Trump Administration

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Judging by the crowd size at last week’s live webcast “SEC Reporting & Filing in the Trump Administration,” the audience for the archive replay below will huge.

The Trump administration has created a level of uncertainty surrounding how the SEC will look over the next four years. Will the SEC continue its high level of scrutiny and enforcement in the same areas, or refocus? Are the recently adopted rules likely to remain, and where reporting requirements change? How should you advise your clients in preparing their filings and disclosures in this regulatory environment?

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As you see below, the agenda and the speakers are excellent. SO GOOD!!

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WEBINAR: SEC Reporting & Filing in the Trump Administration – JAN 26

Recently, there has been increased SEC guidance, scrutiny and enforcement surrounding reporting and disclosure requirements for public companies.  The SEC has, along with other actions, provided guidance to limit non-GAAP reporting, utilized disclosure to regulate social issues, from climate change to the use of conflict minerals, and adopting the final pay ratio disclosure rule.

  • Thursday, January 26, 2017  ~ 1:00 PM
  • REGISTER HERE Free, including CLE credit

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The Trump administration has created a level of uncertainty surrounding how the SEC will look over the next four years.  Will the SEC continue its high level of scrutiny and enforcement in the same areas, or refocus?  Are the recently adopted rules likely to remain, and where reporting requirements change?  How should you advise your clients in preparing their filings and disclosures in this regulatory environment?

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Join us for this 60-minute webinar, where our panelists will discuss the above questions, top considerations for advising your clients, and strategies for maintaining compliance in a landscape with potential to change drastically.

Educational Objectives:

  • Understand the current state of SEC reporting and disclosure requirements, and what might be likely to change
  • Learn about anticipated changes and developments to current regulations
  • Gain strategies and tactics to help your clients prepare for and maintain compliance with their SEC filings

Who would benefit most from attending this program?
Securities attorneys; practitioners advising companies of all sizes; CFOs at companies of all sizes; finance and accounting professionals.

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OUR EXPERTS:

JANE WHITT SELLERS, PARTNER ~ MCGUIREWOODS LLP
Janie has substantial experience with a wide range of corporate finance, securities, corporate governance and mergers and acquisitions matters. She has represented public and private corporate, LLC and MLP issuers and their underwriters in a great variety of financing transactions from syndicated loan agreements to public and private offerings (including Rule 144A and ATM offerings) of debt and equity securities as well as hybrid securities, equity units, mandatorily convertible securities, convertible notes, junior subordinated notes and trust preferred securities. Her experience also includes equity self-tenders and other repurchases as well as liability management transactions such as tender and exchange offers and consent solicitations for outstanding debt securities.

Janie advises on securities disclosures for 1934 Act reports and proxy statements, and assists companies in engaging with shareholders and the SEC regarding shareholder proposals. Corporate governance matters in which she has been involved include advising boards of directors regarding fiduciary duties and conflicts of interest in mergers and acquisitions and other settings, proxy access bylaws, majority vote in director elections, shareholder-called special meetings and majority written consents. Her mergers and acquisitions experience includes stock and asset acquisitions and divestitures, public company mergers, spin-offs and MLP drop-downs. Janie has served on a number of nonprofit boards and been significantly involved in nonprofit activities, particularly involving independent schools and the arts.

JULIE H. VALPEY, ASSURANCE PARTNER, NATIONAL SEC DEPARTMENT, HEAD OF GLOBAL OFFERINGS AND SUPPORT SERVICES ~ BDO
Julie is a Partner in the National SEC Department in BDO’s New York office and is head of the firm’s Global Offerings and Support Services. She has more than 25 years of experience with accounting, financial reporting, auditing and business management.

Julie works extensively with BDO’s public clients and engagement teams to prepare SEC filings and resolve related accounting, reporting and SEC compliance issues. She also provides support to BDO Global firm clients on IFRS matters, private offerings and SEC filings. Julie also does technical writing and research and is co-author of the AICPA’s Guide to SEC Reporting and Annual Public Company Update: SEC, PCAOB, and AICPA Developments. Julie teaches and speaks in the US and around the globe on topics including SEC and PCAOB rules and regulations, US GAAP and IFRS. She also leads BDO’s XBRL Services team in performing AUP’s and other XBRL consulting services.

Prior to joining BDO, Julie worked in the public sector as Assistant to the Controller for Teligent, Inc., helping the company with its initial IPO filing and external financial reporting as well as working on acquisitions and mergers. Additionally, Julie served as Finance Director at Gannett Co., Inc., where she led the financial reporting department in the areas of consolidation accounting, SEC reporting and mergers and acquisitions. Julie began her career with KPMG in Rochester, New York.

SEC closed on Martin Luther King, Jr. Day: January 16, 2017

In observance of the Martin Luther King, Jr. holiday, the SEC is closed Monday January 16, 2017. No files can be received.

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Files submitted after 5:30 pm ET, Friday, January 13, 2017 will receive a filing date of Tuesday, January 17, 2017 and will be posted to the public on January 17, 2017.

As with other holiday closings, the following file types will receive a Friday, January 13, 2017 filing date if filed by 10:00 pm ET on Friday:

  • Section 16 filings (3, 3/A, 4, 4/A, 5, 5/A)
  • Filings pursuant to Rule 462(b)

For any filing with a due date of Monday, January 16, 2017, the SEC will move the due date of Tuesday, January 17, 2017.

Please contact your Vintage representative if you foresee any deadline conflicts. We’re always here to help!

DOWNLOAD A 2017 SEC HOLIDAY AND DEADLINE CALENDAR HERE.

2017 SEC filing calendar – don’t miss a deadline or holiday closing

This is the shortest post you’ll ever read hereClick here to download our 2017 SEC filing calendar.

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*Pushpin not actual size

Video: a “Main Street” perspective on (safely) investing in Reg A+ companies

Admittedly, we spend a lot of time discussing the company-side of the “Mini-IPO” coin. That’s probably why Vintage is #1 (click here).

But what happens after we (perfectly) create and (assuredly) zoom the Form 1-A to the SEC? How do investors identify an opportunity to take a position in an Emerging Growth Company? How can investors mitigate risk from bad ideas and straight-up fraud?

We invited three experts to explain exactly that.

Mini-IPOs: Mechanics and Safeguards for Investing

  • Sara Hanks, CEO, CrowdCheck
  • Ryan Feit, CEO, SeedInvest
  • Yoel Goldfeder, CEO VStock

Here’s a snippet: Log in and watch the complete video here.

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Not many individual investors (um… none) visit this blog, however, the webinar replay is VERY educational for any law firm or corporation working on a Reg A+ registration.

Understanding how investors can find you – as well as their due diligence process – is an essential aspect for setting realistic corporate expectations, financial goals and marketing measurements for success.

20 Regulation A+ “Fun Facts” to know before today’s “Mini-IPO” conference

During a sneak-peek at today’s Mini-IPO webinar, I came across 20 key points that will be covered in the opening webinar Mini-IPOs: The New Alternative for Individual Investors

Join the full day (December 13) webinar event at the button below. Also, you can use this same button to listen to the event 24/7 on-demand (post-live) replay.

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Since today’s webinars are hosted at VirtualInvestorConferences.com, the educational webinars are very different from other Reg A+ webinars we have previously hosted. Our panels will be discussing Reg A+ from a retail investor’s “how-to-invest” perspective, rather than the company’s “how-to-execute-a-“Mini-IPO” perspective.


Regulation A+ “Fun Facts” (alphabetically):
  1. Allows companies to raise capital using advertising including social media and web platforms.
  2. Allows companies to sell debt or equities securities to the public.
  3. Average raise sought on Tier 2 offerings: $28.9 million.
  4. Can be traded on National Exchanges.
  5. Can be traded on OTC Markets.
  6. Companies can “Test the waters” both before and after initial filing.
  7. JOBS Act advocates saw potential to use Regulation A to democratize the IPO Process.
  8. Legal process to file a registration statement with the SEC.
  9. Most common industries utilizing Reg A+: Service, Real Estate, Banking.
  10. Old Regulation A still requires lengthy “Blue Sky Registration.”
  11. Reg A+ opportunity commenced in June 2015.
  12. Regulation A originally adopted in 1960 as a sort of short form registration process.
  13. Regulation A+ has given companies a mechanism and tools to empower them to reach out to the masses in completing an IPO.
  14. Relatively new (18 months) term.
  15. Securities not restricted so the companies can create secondary market.
  16. There are 54 U.S. jurisdictions, including all 50 states and 4 territories, each with separate and different securities laws.
  17. Title IV of the JOBS Act that was signed into law on April 5, 2012.
  18. To date, 165 companies filed initial 1-A offering statements with the SEC.
  19. To date, 94 companies’ offerings have received “Qualifications” from SEC.
  20. To date, maximum raise sought in total: over $3 billion.

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Regarding the “how-to-execute-a-“Mini-IPO” perspective, please remember that Vintage is the #1 service provider to register your Reg A+ (Form 1-A) file.

Perhaps that is Fun Fact 21! 

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What Investors Must Learn Before Buying Mini-IPO Stocks: A two-part webinar on Dec 13

Market experts discuss how SEC Regulation A+ allows Main Street to invest in early-stage companies  

PR Newswire, Vintage and BetterInvesting invites individual investors to two educational webinars about investing in “Mini-IPOs,” the nickname given to the SEC Regulation A+ process companies can use to raise capital. The webcasts are hosted at VirtualInvestorConferences.com.

The new Regulation A+ went into effect in June of 2015 with the intent of reviving the smaller IPO market by allowing companies to accept funds from both accredited and non-accredited investors. This has provided a new option for companies to raise capital for growth

DATE: December 13, 2016 

CLICK HERE to pre-register. 
All webinars are free. 


WEBINARS OVERVIEW 

Mini-IPOs: The New Alternative for Individual Investors 

  • 9:15 – 10:00 EST 

There are a variety of differences between making a Regulation A+ Offering and making an Initial Public Offering in order to raise capital, and each type of offering can have benefits for different types of companies and investors Join us for this webinar, where our panelists will provide an overview of Regulation A+ and discuss the main differences in the processes of investing in Regulation A+ versus a traditional IPO.

Panelists:

  • Laura Anthony, Founding Partner, Legal & Compliance, LLC
  • Andy Kyzyk, Vice President, Advisor Relations at OTC Markets Group

Moderator:

  • Gordon Ruckdeschel, Director of Operations, Vintage

Mini-IPOs: Mechanics and Safeguards for Investing

  • 10:00 – 11:00 EST

Since June 2015, there have been almost 200 “Mini-IPOs,” filed with SEC. Why haven’t more individual investors taken positions in these companies? How can investors identify and research these opportunities? Join us for this webinar, where our panelists will discuss how Regulation A+ will deliver interesting new opportunities.

Panelists:

  • Sara Hanks, CEO CrowdCheck
  • Ryan Feit, CEO SeedInvest
  • Yoel Goldfeder, CEO Vstock Transfer

Moderator:

  • Bradly H Smith, Director of Marketing PR Newswire / Vintage

Immediately following the educational webinars, investors are invited to stay logged in to listen, as well as ask questions, directly to five CEOs at Mini-IPO companies.

11:00 EST WorthPoint Corporation: the leading online resource for value information on art, antiques and collectibles
11:45 EST Blue Marble Biomaterials: replacing petroleum-based chemicals with fully sustainable, zero carbon specialty chemicals
12:30 EST Knightscope, Inc: predicting and preventing crime utilizing autonomous robots, analytics and engagement
1:15 EST Keen Home Inc.: making the home smarter, more efficient, and comfortable.
2:00 EST DSTLD: premium denim and luxury essentials at about 1/3 the traditional retail price

Pre-register here: http://tinyurl.com/1213agendaPR

All webinars are free.

For more information: http://www.virtualinvestorconferences.com

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About VirtualInvestorConferences.com

VirtualnvestorConferences.com, created by BetterInvesting (NAIC) and PRNewswire, has been the only monthly virtual investor conference series that provides an interactive forum for presenting companies to meet directly with investors using a graphically-enhanced online platform. Designed to replicate the look and feel of location-based investor conferences, Virtual Investor Conferences combines PR Newswire’s leading-edge online conferencing and investor communications capabilities with BetterInvesting’s extensive retail investor audience network.

About Vintage

Vintage, a PR Newswire division, is a top-three provider of full-service regulatory compliance and shareholder communications services, delivered across our three practice areas: Capital Markets, Corporate Services and Institutional & Fund Services. Founded in 2002 and acquired by PR Newswire in 2007, Vintage has evolved to become the industry’s intelligent value choice. We deliver a flexible balance of people, facilities and technology to ensure that regulatory compliance and shareholder communications processes are efficient, transparent and painless. Services include IPO registrations, transactions, virtual data rooms, EDGAR & XBRL filing, typesetting, financial printing and investor relations websites.

About PR Newswire

PR Newswire, a Cision company, is the premier global provider of multimedia platforms and distribution that marketers, corporate communicators, sustainability officers, public affairs and investor relations officers leverage to engage key audiences. Having pioneered the commercial news distribution industry over 60 years ago, PR Newswire today provides end-to- end solutions to produce, optimize and target content — and then distribute and measure results. Combining the world’s largest multi-channel, multi-cultural content distribution and optimization network with comprehensive workflow tools and platforms, PR Newswire powers the stories of organizations around the world. PR Newswire serves tens of thousands of clients from offices in the Americas, Europe, Middle East, Africa and Asia-Pacific regions.

Cision is a leading global media intelligence company, serving the complete workflow of today’s communication professionals.

Media Contact:
Bradley H. Smith
Director of Marketing, IR and Compliance Services
PR Newswire & Vintage
+1 201.942.7157

bradley.smith@prnewswire.com

 

 

Liam Power, President, Vintage, To Moderate at XBRL Investor Forum 2016 in NYC

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Panel discussion:Structured Data Use Today” held on October 24

NEW YORK, October 18, 2016 /PRNewswire/ Vintage, the capital markets, corporate services and institutional & fund services division of PR Newswire, is pleased to announce that their President Liam Power will be moderating an industry panel of experts that will offer insight on the use of structured data today.

The session is free to attend and is a part of a half-day conference.

Investor Forum 2016: Finding Value with Smart Data

The panel will discuss use case studies for structured data, specifically XBRL (eXtensible Business Reporting Language), and its continually growing adoption by investors, data intermediaries, auditors and the media. Power will also engage the experts on why structured data improves timeliness, accuracy and efficiency.

liam-croppedExperts:

  • Liam Power, President, Vintage, a Division of PR Newswire (Moderator, right)
  • Campbell Pryde, President and CEO, XBRL US
  • Gladimyr Sully, Senior Content Specialist, Thomson Reuters
  • Howard Kaplan, Division of Enforcement, U.S. Securities and Exchange Commission
  • Jack Ciesielski, R.G. Associates, Inc., Publisher of The Analyst’s Accounting Observer
  • Joey French, President & Director of Product, Intrinio

Vintage, a top-three EDGAR fling provider, offers XBRL solutions for OTC Markets, NASDAQ and NYSE listed companies. Learn more about their fleXBRL program here: http://www.thevintagegroup.com/products/xbrl-financial-reporting.html

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About Vintage

Vintage, a PR Newswire division, is a top-three provider of full-service regulatory compliance and shareholder communications services, delivered across our three practice areas: Capital Markets, Corporate Services and Institutional & Fund Services. Founded in 2002 and acquired by PR Newswire in 2007, Vintage has evolved to become the industry’s intelligent value choice. We deliver a flexible balance of people, facilities and technology to ensure that regulatory compliance and shareholder communications processes are efficient, transparent and painless. Services include IPO registrations, transactions, virtual data rooms, EDGAR & XBRL filing, typesetting, financial printing and investor relations websites.

About PR Newswire

PR Newswire, a Cision company, is the premier global provider of multimedia platforms and distribution that marketers, corporate communicators, sustainability officers, public affairs and investor relations officers leverage to engage key audiences. Having pioneered the commercial news distribution industry over 60 years ago, PR Newswire today provides end-to- end solutions to produce, optimize and target content — and then distribute and measure results. Combining the world’s largest multi-channel, multi-cultural content distribution and optimization network with comprehensive workflow tools and platforms, PR Newswire powers the stories of organizations around the world. PR Newswire serves tens of thousands of clients from offices in the Americas, Europe, Middle East, Africa and Asia-Pacific regions.

Cision is a leading global media intelligence company, serving the complete workflow of today’s communication professionals.

Media Contact:
Bradley H. Smith
Director of Marketing, IR and Compliance Services
PR Newswire & Vintage
+1 201.942.7157

bradley.smith@prnewswire.com

SEC to speak indepth about inline XBRL: industry webinar

This past June, the Securities and Exchange Commission (SEC) announced that public companies have the option to file their Forms 8-K, 10-Q, 10-K, 20-F and 40-F in a financial disclosure format known as Inline XBRL, also referred to as iXBRL. iXBRL is the merging of two distinctly different document formats – machine-readable XBRL and “people-readable” HTML into a single document.

Currently, the SEC requires that corporate issuers file their financial reports with the SEC in both XBRL and HTML.glasses2

The SEC believes iXBRL will decrease filing preparation costs and improve the quality of structured XBRL data. To quote Ford, quality is job #1 for all involved – improving data quality will advance the adoption (and data trust) of XBRL by Street portals and thus, investors.

At the time of the SEC’s June announcement, some issues were a bit vague regarding iXBRL. Here’s your chance for more clarity.

There is also an option (fifty bucks) to get CPE credit.

All Vintage clients will have the ability to file with iXBRL for the Q3 2016 filing season.

“The adoption of iXBRL has great potential to simplify the review process for our clients,” said Liam Power, President, Vintage. “Eliminating the duplicate tasks of reviewing, editing and approving the same financial information on two different documents is clearly the intelligent, next step in the evolution of structured data reporting and for our fleXBRL program. By design, our fleXBRL program adapts to meet the needs of our clients and of the SEC.”


Vintage fleXBRL is a leading reporting program that matches the internal workflow for companies of all market-cap and filing complexity:

  • fleXBRL Complete: Flexible XBRL tagging process between Vintage and client’s on-staff financial team. Our XBRL Dedicated Accountants execute taxonomy tagging process while clients have real-time web portal / Microsoft Office oversight to review, directly edit and submit both XBRL and associated HTML EDGAR files at any time up to filing deadline.
  • fleXBRL Command:100% self-serve web portal / Microsoft Office solution for companies with on-staff XBRL specialist(s).  XBRL and associated HTML EDGAR files can be submitted to the SEC at any time up to filing deadline.
  • fleXBRL Core: Traditional XBRL tagging and filing solution. All tagging, timeline management and final filing executed by Vintage XBRL specialists. Adherence to filing workflow timeline is essential.

Please CLICK HERE  for more information about fleXBRL.

 

Vintage Experts to Guide Healthcare, Technology, Telecom and Aerospace-Defense Companies at 2016 Aegis Growth Conference

Intelligent value for M&A and continual disclosure & compliance drive conversations at annual event in Las Vegas, September 20-22

NEW YORK, September 13, 2016 / PR Newswire / — Vintage, the capital markets, corporate services and institutional & fund services division of PR Newswire, today announced that the company will be presenting their Capital Markets and Corporate Services solutions the 2016 Aegis Growth Conference, September 20-22. The event is held at Encore at Wynn Las Vegas.

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Vintage’s solutions are especially tailored for Aegis Capital’s audience of publicly traded, emerging growth companies:

  • S-1 and secondary offering transactions
  • Regulation A+ offerings
  • Shareholder communications and investor visibility
  • Cost-effective EDGAR and XBRL programs
  • Virtual Data Rooms

To keep up-to-date on Vintage’s continued growth, please follow the company in LinkedIn: https://www.linkedin.com/company/vintage-filings-llc

Please visit Vintage today for more information: www.thevintagegroup.com

About Vintage

Vintage, a PR Newswire division, is a top-three provider of full-service regulatory compliance and shareholder communications services, delivered across our three practice areas: Capital Markets, Corporate Services and Institutional & Fund Services.

Founded in 2002 and acquired by PR Newswire in 2007, Vintage has evolved to become the industry’s intelligent value choice. We deliver a flexible balance of people, facilities and technology to ensure that regulatory compliance and shareholder communications processes are efficient, transparent and painless. Services include IPO registrations, transactions, virtual data rooms, EDGAR & XBRL filing, typesetting, financial printing and investor relations websites. www.thevintagegroup.com  

About PR Newswire

PR Newswire, a Cision company, is the premier global provider of multimedia platforms and distribution that marketers, corporate communicators, sustainability officers, public affairs and investor relations officers leverage to engage key audiences. Having pioneered the commercial news distribution industry over 60 years ago, PR Newswire today provides end-to- end solutions to produce, optimize and target content — and then distribute and measure results. Combining the world’s largest multi-channel, multi-cultural content distribution and optimization network with comprehensive workflow tools and platforms, PR Newswire powers the stories of organizations around the world. PR Newswire serves tens of thousands of clients from offices in the Americas, Europe, Middle East, Africa and Asia-Pacific regions.

Cision is a leading global media intelligence company, serving the complete workflow of today’s communication professionals. 

Media Contact:

Bradley H. Smith
Director of Marketing, IR and Compliance Services
PR Newswire & Vintage
+1 201.942.7157
bradley.smith@prnewswire.com