Tagged: keith higgins

SEC Director of CorpFin Keith Higgins to Depart in January

  The Securities and Exchange Commission has announced the departure of Keith Higgins, the Director of SEC’s Division of Corporation Finance. Higgins, having joined the SEC in June of 2013, will depart in early January. Higgins has been deeply engaged with Dodd-Frank rulemaking, the FAST… Read More

Does the SEC Want to Create a Regulatory Approach for Cross Border Equity Crowdfunding Offers?

Keith Higgins, Director the Division of Corporate Finance of the SEC, travelled to the UK last week to keynote a speech at the Fifteenth Annual Institute of Securities Regulation in Europe.  The speech, entitled; “International Developments -Past, Present & Future, launched into the premise of… Read More

Brief: Luisi Named Associate Director of CorpFin at SEC

The SEC has announced that Shelly Luisi has been named as an Associate Director in the Division of Corporation Finance. Luisi currently is a Senior Associate Chief Accountant in the SEC’s Office of the Chief Accountant, where she co-leads the staff responsible for the agency’s… Read More

Final Rules for Title IV of the JOBS Act to Include State Pre-emption But for Tier 2 Only

The Securities and Exchange Commission met today to finalize rules for Title IV of the JOBS Act, commonly referred to as Regulation A+.  As expected the Commission quickly approved rules that included state Blue Sky pre-emption but for only Tier 2 of Title IV.  The… Read More

A Funny Thing Happened on the Way to the (2014 SEC Government Small Business) Forum

As one who has represented small and emerging growth companies over the past 36 years in navigating access to the capital markets, I have closely followed the legislative and regulatory developments in Washington, D.C. since the enactment of the Jumpstart Our Business Startups Act of… Read More

Small Business SEC Regulatory Reform in Washington, DC: “All in on Red” on Election Day 2014

The place was Washington, D.C. The occasion was the Annual Meeting of the Angel Capital Association at the Hilton Hotel in March 2014. Hundreds of attendees were gathered for lunch in the main Ballroom, the largest in the City. The lineup of luncheon speakers was… Read More

SEC Annual Forum on Small Business Capital Formation: Ground Hog Day for Small Biz?

Many of us are wondering when, if and how the SEC will finally roll out final regulations to implement major provisions of the JOBS Act of 2012, including Title III (investment crowdfunding) and Title IV (Regulation A+). So too were a group of Congressmen, gathered… Read More

SEC CorpFin Director Talks JOBS Act on the Hill During Financial Services Committee Hearing

Last Thursday (July 24) Keith Higgins, Director of the Division of Corporation Finance, gave his testimony on the Division’s recent “activities and responsibilities” to the House of Representatives Committee on Financial Services’ Capital Markets Subcommittee. Among the topics addressed by Mr. Higgins during his testimony… Read More

Cicely LaMothe Now Associate Director at SEC Division of Corporate Finance

The Securities and Exchange Commission (SEC) today announced that Cicely LaMothe has been named as an associate director in the agency’s Division of Corporation Finance. In her new position, Ms. LaMothe will join associate directors Paul Belvin, James Daly, Karen Garnett, and Barry Summer in… Read More

NASAA Challenges SEC on Proposed Revisions to Regulation “A”

The North American Securities Administrators Association (NASAA) has called upon the Securities and Exchange Commission (SEC) to make substantial revisions to its Regulation A proposed rule.  The NASAA has requested these changes be made “to remove potential harms to issuers and investors, especially those of… Read More

Keith Higgins Talks JOBS Act in Speech to Angel Capital Association

The Director, Division of Corporation Finance at the Securities and Exchange Commission, Keith Higgins, gave the keynote address at the Angel Capital Association Summit in Washington, DC today. Higgins, who has been in the thick of rulemaking with the JOBS Act and correspondingly all types of… Read More

Cybersecurity Agenda Released for SEC Roundtable

Previously announced in February, The Securities and Exchange Commission (SEC) today announced the agenda and panelists for this Wednesday’s (March 26, 2014) roundtable on the issues and challenges cybersecurity presents for market participants and public companies.  The roundtable will be held at the SEC’s headquarters… Read More

SEC Director of Corporate Finance Talks JOBS Act in Speech

In the keynote address delivered today in London to the Annual Institute on Securities Regulation in Europe, Keith Higgins, Director, Division of Corporate Finance at the SEC, talked JOBS Act and crowdfunding. The speech titled The New World of Capital Formation jumped right into the… Read More

Elizabeth Murphy to Become Associate Director, Division of Corporate Finance of SEC

The Securities and Exchange Commission (SEC) has announced that Elizabeth Murphy has been named an associate director in its Division of Corporation Finance. For the past five years, Ms. Murphy has served as the Secretary of the Commission, heading the office that prepares, reviews, and… Read More

David Fredrickson to be Chief Counsel in the Division of Corporation Finance at SEC

The Securities and Exchange Commission (SEC) today announced that David Fredrickson has been named associate director and chief counsel in the agency’s Division of Corporation Finance. He will assume his new position in March. Mr. Fredrickson has been assistant general counsel in the SEC’s Office… Read More

SEC Issues Staff Report on Disclosure Requirements Mandated by JOBS Act

The Securities and Exchange Commission (SEC) has issued a staff report to Congress on its disclosure rules for U.S. public companies, as part of agency’s ongoing efforts to modernize and simplify disclosure requirements and reduce compliance costs for emerging growth companies. The report, mandated by… Read More

Sebastian Gomez Abero to Lead SEC Office of Small Business Policy

Gomez Played Key Role in Drafting JOBs Act Rules. The Securities and Exchange Commission (SEC) has announced that effective immediately Sebastian Gomez Abero has been appointed chief of the Office of Small Business Policy, Division of Corporation Finance.  T Mr. Gomez previously was a special… Read More

Testimony from Keith Higgins from SEC for Senate Banking Committee

During the US Senate Banking Committee testimony today the Securities and Exchange Commission had their Director from the Division of Corporate Finance, Keith Higgins, deliver their message on JOBS Act implementation.  Higgins reviews the various Titles of the legislation concluded that while there is much… Read More

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