Tagged: keith higgins

December 6, 2016 @ 5:24 pm By JD Alois  |  

  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

January 24, 2016 @ 10:57 pm By JD Alois  |  

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

August 19, 2015 @ 1:56 pm By JD Alois  |  

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

March 25, 2015 @ 12:45 pm By JD Alois  |  

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

November 10, 2014 @ 7:27 am By Samuel Guzik  |  

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

November 5, 2014 @ 8:11 am By Samuel Guzik  |  

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

August 4, 2014 @ 8:02 am By Samuel Guzik  |  

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

July 31, 2014 @ 11:42 am By Anthony Zeoli  |  

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

June 18, 2014 @ 6:49 pm By JD Alois  |  

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

March 28, 2014 @ 1:39 pm By JD Alois  |  

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

March 28, 2014 @ 1:02 pm By JD Alois  |  

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

March 24, 2014 @ 2:58 pm By JD Alois  |  

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

March 20, 2014 @ 10:26 am By JD Alois  |  

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

February 14, 2014 @ 5:29 pm By JD Alois  |  

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

February 12, 2014 @ 2:41 pm By JD Alois  |  

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

December 20, 2013 @ 12:55 pm By JD Alois  |  

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

December 9, 2013 @ 4:50 pm By JD Alois  |  

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

October 30, 2013 @ 7:07 pm By JD Alois  |  

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