Staying Current with Federal Securities Regulations
Increased enforcement of securities regulations makes it imperative that issuers stay current with their financings’ continuing disclosure requirements. Nevertheless, given the demands put on public sector financial officers, the annual filing of continuing disclosure reports too often falls to the bottom of the pile.
DS&C’s continuing disclosure services provide clients with a cost-effective alternative for compliance with U.S. Securities and Exchange Commission Rule 15c2-12 requirements. These services include:
- Preparation of all required filing documentation
- Careful review of past continuing disclosure filings and obligations
- Electronic filing of annual continuing disclosure statement
- Timely filing of notices of material events
- Monitoring of industry-related websites and portals for information regarding potential reportable events