Financial Transactions and Regulatory Compliance Review

Covering the latest in capital markets transactions, funds, annuities, financial reporting and SEC filings

Toppan Vintage

Toppan Vintage is a leading international financial printing, communications and technology company dedicated to delivering a hassle-free experience with the highest quality accuracy, reliability and value for your organization’s financial printing and communications needs.

Recent Posts

The Six Types of Successful Acquisitions

Content originally from Transaction Advisors  

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Edgar Access Codes & SEC’s Form ID Application

Anyone who intends to file any document electronically with the SEC must first apply for EDGAR Access Codes via the SEC’s Form ID Application (yes, even DRS/DOS or simple Form 3, 4, 5 or D filers).

A Form ID Application is the electronic form used to apply for access codes needed to use EDGAR. This process may take up to 48 hours, so we urge you to plan ahead.

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Fed’s Proposed Volcker Rule Changes Would Benefit Banks

By, Bloomberg BNA

Addressing industry concerns and looking to make compliance easier while still ensuring banks steer clear of the high-risk behavior that led to the 2008 financial crisis, the Federal Reserve governors recently voted to seek comments on significant proposed changes to the regulations implementing the so-called Volcker Rule.

The changes were jointly proposed by the Treasury’s Office of the Comptroller of the Currency, the Federal Reserve board of governors, the Federal Deposit Insurance Corp., the Securities and Exchange Commission, and the Commodity Futures Trading Commission.

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Cheat Sheet for EDGAR Access Codes

The term “Access Codes” refers to the set of codes (PMAC, CCC, and password) filers need in order to access the EDGAR filing websites to submit filings. Avoid any confusion with our cheat sheet featuring definitions to EDGAR access codes:

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IPOs and Transactions: July 9 - 13

There were 43 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services,  including Mustang Bio Inc w/ Alston & Bird LLP, Eagle Point Income Co Llc w/ Dechert LLP, World Technology Corp w/ Loeb & Loeb LLP, World Technology Corp w/ Schiff Hardin LLP.

We appreciate that they selected to work with us and benefited from our decades of industry experience that enable us to take on any size deal and execute it to the highest industry standards.

For information on all of our capital markets, compliance and investor relations solutions, please contact us here or email us.

Click here and opt-in to receive this weekly summary via email.

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Top Reasons for SEC Form ID Application Rejections

Anyone who intends to file any document electronically with the SEC must first apply for EDGAR Access Codes via the SEC’s Form ID Application. To avoid any delay in your application, or application rejection, avoid the below:

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Bridging the Gender Gap in Dealmaking

The dealmaking landscape has long seen a shortage of women, due in part to gender inequality and issues involving unequal pay, uneven support, and bias. A wave of trailblazing women is working to change the imbalance, however. Through efforts at law schools and business schools, as well as at their own firms, a number of female dealmakers are showing young women that a career in transactional work is possible — and potentially very rewarding.

Toppan Vintage, a trusted financial printing and communications company, in partnership with Mergermarket, is pleased to present the newest edition of M&A Pulse newsletter on the importance of gender diversity at the dealmaking tableIn order to highlight the issue, Toppan Vintage commissioned Mergermarket to interview five women who are helping lead the way.

Toppan Vintage question: What kinds of changes do you think are necessary to bridge the gender gap further in the dealmaking industry? (E.g., more women founders, gender balance policies, better recruiting) Leading industry experts weigh in...

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The Future of Dual-Class Shares

When Facebook CEO Mark Zuckerberg took his social media company public in 2012, few investors blinked an eye at the dual-class ownership structure in place that allowed Zuckerberg to retain control. Five years later, most investors in Snap were also sanguine about CEO Evan Spiegel keeping the reigns of his mobile app maker.

Toppan Vintage, a trusted financial printing and communications company, in partnership with Mergermarket, is pleased to present the newest edition of M&A Pulse newsletter on dual-class stock, private fundraising, and digital shareholder meetings, among other topicsIn order to understand how these issues will impact companies and their investors in the coming months, Toppan Vintage commissioned Mergermarket to interview leading experts in the field.

Toppan Vintage question: Dual-class shares have been in the spotlight recently, with such CEOs as Mark Zuckerberg of Facebook and Evan Spiegel of Snap having retained control of their companies without owning a majority stake. Do you think this trend will continue or expand among new companies, or do you see it being rolled back instead? Is this arrangement problematic? Leading industry experts weigh in...

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Gender Diversity in Dealmaking

The issue of gender diversity in the corporate world has taken on increased urgency. Even as women reach new heights in terms of education – the average adult woman in the US is now more likely to be a college graduate than a man, according to the Census Bureau – they remain underpaid compared to their male counterparts and underrepresented in boardrooms.

Toppan Vintage, a trusted financial printing and communications company, in partnership with Mergermarket, is pleased to present the newest edition of M&A Pulse newsletter on the importance of gender diversity at the dealmaking tableIn order to highlight the issue, Toppan Vintage commissioned Mergermarket to interview five women who are helping lead the way.

Toppan Vintage question: In what ways do you think better representation of women in dealmaking would improve the industry? Leading industry experts weigh in...

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IFRS Webinar – New Date & Featured Guest Speaker

Due to the exciting addition of a new featured guest speaker, July's IFRS webinar on successful first filings is rescheduled for September 2018. Please stay tuned for exclusive preview content on IFRS taxonomy, first filings, training tips, SEC deadlines, filing success plans and future implementation options.

We hope you’ll join us in September!

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IPOs and Transactions: July 2 - 6

There were 38 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services, including Fortress Biotech Inc w/ Alston & Bird LLP, Emclaire Financial Corp w/ Bybel Rutledge LLP, Emclaire Financial Corp w/ Silver, Freedman, Taff & Tiernan LLP.

We appreciate that they selected to work with us and benefited from our decades of industry experience that enable us to take on any size deal and execute it to the highest industry standards.

For information on all of our capital markets, compliance and investor relations solutions, please contact us here or email us.

Click here and opt-in to receive this weekly summary via email.

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Video: June Top Law Firms By SEC Transactions

As subject matter experts in transactions i.e. IPOs and M&A, we carefully track the capital markets dealflow… daily, weekly and monthly.

If you would like to be emailed the week’s transactions (every Monday afternoon), fill out the quick form on this page.

Continue on to view June's top law firms.

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The Biggest Challenges Women Face in Dealmaking

When it comes to gender diversity, the discrepancy is especially stark in the world of M&A. The culture of dealmaking has long been dominated by men, due to factors such as a shortage of women interested in the sector, uneven support for professionals raising children, and bias on the part of some executives in the industry.

Toppan Vintage, a trusted financial printing and communications company, in partnership with Mergermarket, is pleased to present the newest edition of M&A Pulse newsletter on the importance of gender diversity at the dealmaking tableIn order to highlight the issue, Toppan Vintage commissioned Mergermarket to interview five women who are helping lead the way.

Toppan Vintage question: What challenges have you faced in advancing in your career, if any? What are the biggest challenges you see your female peers face? Leading industry experts weigh in...

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The State of Index Funds and Corporate Governance

Controversy over the wisdom of dual-class structure is just one of many hot-button issues in the world of corporate governance in 2018. The rise of index funds is raising questions about institutional investors' influence in corporate board rooms. Activist investors are affecting how directors approach decision-making. And companies are using new technology to bring about changes to old practices, such as digitizing the annual shareholder meeting.

Toppan Vintage, a trusted financial printing and communications company, in partnership with Mergermarket, is pleased to present the newest edition of M&A Pulse newsletter on dual-class stock, private fundraising, and digital shareholder meetings, among other topicsIn order to understand how these issues will impact companies and their investors in the coming months, Toppan Vintage commissioned Mergermarket to interview leading experts in the field.

Toppan Vintage question: With an increasing share of investors putting their money into index funds, the largest institutional investors have gained huge influence in proxy contests and overall corporate governance. How well do you think these funds are managing this responsibility? Do you think this governance structure comes with any problems? Leading industry experts weigh in...

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The Next Generation of Women in Dealmaking

A wave of trailblazing women is working to change the gender imbalance in the dealmaking industry. Through efforts at law schools and business schools, as well as at their own firms, a number of female dealmakers are showing young women that a career in transactional work is possible — and potentially very rewarding. They are also at the forefront of a growing movement across sectors.

Toppan Vintage, a trusted financial printing and communications company, in partnership with Mergermarket, is pleased to present the newest edition of M&A Pulse newsletter on the importance of gender diversity at the dealmaking tableIn order to highlight the issue, Toppan Vintage commissioned Mergermarket to interview five women who are helping lead the way.

Toppan Vintage question: What advice would you give to a young woman interested in a career in transactional work? What kind of preparation would best equip them for success? Leading industry experts weigh in...

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IPOs and Transactions: June 25 - 29

There were 44 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services, including Brainstorm Cell Therapeutics Inc w/ BRL Law Group LLC, Startengine Crowdfunding Inc w/ CrowdCheck Law LLP, Biohitech Global Inc w/ Kane Kessler, P.C., Opera Ltd w/ Kirkland & Ellis LLP, Sgoco Group Ltd w/ Loeb & Loeb LLP, Opera Ltd w/ Opera Ltd., Xg Technology Inc w/ Robinson Brog Leinwand Greene Genovese & Gluck P.C., Opera Ltd w/ Wilson Sonsini Goodrich & Rosati PC.

We appreciate that they selected to work with us and benefited from our decades of industry experience that enable us to take on any size deal and execute it to the highest industry standards.

For information on all of our capital markets, compliance and investor relations solutions, please contact us here or email us.

Click here and opt-in to receive this weekly summary via email.

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SEC closed for Independence Day - July 4, 2018



In honor of Independence Day, the SEC is closed Wednesday, July 4, 2018. No filings can be received.

Files submitted after 5:30 pm ET on Tuesday, July 3, 2018 will receive a filing date of Thursday, July 5, 2018.

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SEC Adopts Inline XBRL for Mutual Funds and Operating Companies

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Improvements to Corporate Governance Driven by Activist Investors

Controversy over the wisdom of dual-class structure is just one of many hot-button issues in the world of corporate governance in 2018. The rise of index funds is raising questions about institutional investors' influence in corporate board rooms. Activist investors are affecting how directors approach decision-making. And companies are using new technology to bring about changes to old practices, such as digitizing the annual shareholder meeting.

Toppan Vintage, a trusted financial printing and communications company, in partnership with Mergermarket, is pleased to present the newest edition of M&A Pulse newsletter on dual-class stock, private fundraising, and digital shareholder meetings, among other topicsIn order to understand how these issues will impact companies and their investors in the coming months, Toppan Vintage commissioned Mergermarket to interview leading experts in the field.

Toppan Vintage question: What do you think are the most helpful improvements to corporate governance being implemented due to the influence of activist investors, if any? (E.g., decreasing board entrenchment, better ESG practices, moderating executive pay) Leading industry experts weigh in...

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The Rise of the Digital Annual Meeting

Annual meetings are an invaluable opportunity to raise shareholder awareness of issues facing a company, and leadership’s plans to tackle those issues. Annual meetings are also when shareholders vote on potential courses of action and new members for the board. Companies are using new technology to bring about changes to old practices, such as digitizing the annual shareholder meeting.

Toppan Vintage, a trusted financial printing and communications company, in partnership with Mergermarket, is pleased to present the newest edition of M&A Pulse newsletter on dual-class stock, private fundraising, and digital shareholder meetings, among other topicsIn order to understand how these issues will impact companies and their investors in the coming months, Toppan Vintage commissioned Mergermarket to interview leading experts in the field.

Toppan Vintage question: Companies are increasingly adopting digital annual meetings to save on cost and expand access to a wider group of investors. Do you expect this trend to accelerate further? What do you see as the main purpose of annual meetings in the current era? Leading industry experts weigh in...

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