Tagged: securities and exchange commission

April 15, 2014 @ 12:37 pm By JD Alois  |  

In a speech delivered today, entitled “The Future of Capital Formation“, Craig M. Lewis, Chief Economist and Director of Economic and Risk Analysis at the SEC, addresses the JOBS Act and specifically the various exemptions that allow investment crowdfunding.  Specifically Title II – with general… Read More

April 14, 2014 @ 11:42 am By JD Alois  |  

The Investor Advisory Committee (IAC) meeting was held last week on April 10th at the SEC.  The agenda, previously published, indicated the IAC would address retail crowdfunding and review their recommendations as part of the rule making process. The meeting started with SEC Chair Mary… Read More

April 8, 2014 @ 1:21 pm By JD Alois  |  

In a speech given today to the North American Securities Administrators Association (NASAA) at their annual conference held in Washington, DC, SEC Commissioner Luis A. Aguilar addressed the hot topic of the JOBS Act and some of the exemptions regarding crowdfunding. The NASAA has been… Read More

April 4, 2014 @ 2:23 pm By JD Alois  |  

The Securities and Exchange Commission Investor Advisory Committee has scheduled a meeting for April 10, 2014 to take place from 10AM to 4:30PM EST. The agenda for the meeting includes: remarks from Commissioners; remarks from the Investor Advocate; election of Investor Advisory Committee Chair; a recommendation… 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 21, 2014 @ 10:15 am By JD Alois  |  

In a speech delivered today to the Consumer Federation of America, Securities and Exchange Commission Chair Mary Jo White addressed the needs of protecting the consumer in the securities markets. White mentions the recent appointment of Rick Fleming as the agency’s head in the new… Read More

March 10, 2014 @ 11:27 am By Samuel S. Guzik, The Crowdfunding Counselor  |  

Title III of the JOBS Act created an exemption from registration for the offer and sale of so-called “crowdfunded” securities under the Securities Act of 1933, allowing the offer and sale of securities to an unlimited number of unaccredited investors without registration with the SEC,… Read More

February 16, 2014 @ 6:59 pm By JD Alois  |  

On January 31, 2014, the Securities and Exchange Commission held a meeting of the Investor Advisory Committee.  Several of the commissioners participated in the gathering. A portion of the event, towards the end of the agenda, focused on crowdfunding. The recorded webcast with the portion… Read More

February 15, 2014 @ 6:50 pm By JD Alois  |  

The Securities and Exchange Commission (SEC) has announced that it will host a public roundtable in March to discuss cyber security and the issues and challenges it raises for market participants and public companies, and how they are addressing those concerns. The roundtable will be… 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

January 27, 2014 @ 4:06 pm By JD Alois  |  

Securities and Exchange Commission (SEC) Chair Mary Jo White addressed the 41st Annual Securities Regulation Institute which has holding their annual gathering in San Diego, California. In a keynote address White states the objective of the SEC is to; “…to protect investors, make it possible… Read More

January 22, 2014 @ 1:08 am By Samuel S. Guzik, The Crowdfunding Counselor  |  

December 18, 2013 may well mark an historic turning point in the ability of small business to effectively access capital in the private and public markets under the federal securities regulatory framework.

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 18, 2013 @ 2:42 pm By JD Alois  |  

SEC Proposes Rules to Increase Access to Capital for Smaller Companies The Securities and Exchange Commission earlier today voted to propose rules intended to increase access to capital for smaller companies.  The proposed rules are part of a mandate from Title IV of the JOBS… 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

April 2, 2013 @ 3:30 pm By JD Alois  |  

The Securities and Exchange Commission today issued a report that makes clear that companies can use social media outlets like Facebook and Twitter to announce key information in compliance with Regulation Fair Disclosure (Regulation FD) so long as investors have been alerted about which social… Read More