Tagged: securities and exchange commission

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