Increased enforcement of securities regulations makes it imperative that issuers stay current with their financings’ continuing disclosure requirements.
DS&C’s continuing disclosure services provide clients with a cost-effective alternative for staying compliant with U.S. Securities and Exchange Commission Rule 15c2-12 requirements. These services include:
- Preparation of all required filing documentation
- The careful review of past continuing disclosure filings and obligations
- Electronic filing of the annual continuing disclosure statement
- Timely filing of notices of material events
- Monitoring of industry-related websites and portals for information regarding potentially reportable events