Law Blog Category: SEC Advisory Committee

The SEC’s 2017 Enforcement Priorities And Results

No more broken windows!  In a series of speeches by various top brass at the SEC followed by the publication of the SEC Enforcement Division 2017 Report on results and priorities, the SEC has confirmed both directly and through its actions that the era of “broken windows” enforcement is over. The broken windows policy was Read the full article…

SEC Advisory Committee On Small And Emerging Companies Holds Final Meeting

On September 13, 2017, the SEC Advisory Committee on Small and Emerging Companies (the “Advisory Committee”) held its final meeting and issued its final report. The Committee was organized by the SEC for a two-year term to provide advice on SEC rules, regulations and policies regarding “its mission of protecting investors, maintaining fair, orderly and Read the full article…

Recommendations Of SEC Government-Business Forum On Small Business Capital Formation

In early April, the SEC Office of Small Business Policy published the 2016 Final Report on the SEC Government-Business Forum on Small Business Capital Formation, a forum I had the honor of attending and participating in. As required by the Small Business Investment Incentive Act of 1980, each year the SEC holds a forum focused Read the full article…

SEC Advisory Committee On Small And Emerging Companies Issues Further Recommendations On Accredited Investor Definition

SEC Proposes Amendments To Definition Of “Small Reporting Company”

SEC Issues Report On Accredited Investor Definition

SEC Small Business Advisory Committee Public Company Disclosure Recommendations

SEC Advisory Committee On Small And Emerging Companies Recommends Modernizing Rule 147 for Intrastate Crowdfunding Offerings