An Introduction To Distributed Ledger Technology (Blockchain Technology)
On July 13, 2017, FINRA held a Blockchain Symposium to assess the use of distributed ledger technology (DLT) in the financial indust...
Home 2017 (Page 3)
SEC Chair Jay Clayton Discusses Direction Of SEC
In a much talked about speech to the Economic Club of New York on July 12, 2017, SEC Chairman Jay Clayton set forth his thoughts on...
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SEC Expands Ability To File Confidential Registration Statements
On June 19, 2017, the SEC announced that the Division of Corporation Finance will permit all companies to submit draft registration...
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SEC Commissioner Piwowar Speaks On The IPO Market
On May 16, 2017, SEC Commissioner Michael Piwowar gave the opening remarks to the SEC-NYU Dialogue on Securities Market Regul...
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SEC Chief Accountant Speaks On Financial Reporting
On June 8, 2017, the SEC Chief Accountant, Wesley R. Bricker, gave a speech before the 36th Annual SEC and Financial Reporting Insti...
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The Payment Of Finders’ Fees- An Ongoing Discussion
Introduction As a recurring topic, I discuss exemptions to the broker-dealer registration requirements for entities and individuals...
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OTC Markets Amends Listing Standards For OTCQB To Allow Non-Reporting Issuers
Effective May 18, 2017, the OTC Markets has amended its qualification rules for the OTCQB to allow quotation by companies that follo...
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SEC Issues Additional Guidance on Regulation A+
On March 31, 2017, the SEC Division of Corporation Finance issued six new Compliance and Disclosure Interpretations (C&DI) to pr...
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Financial Choice Act 2.0 Has Made Progress
On June 8, 2017, the U.S. House of Representative passed the Financial Creating Hope and Opportunity for Investors, Consumers and En...
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FINRA Proposes Amendments To The Corporate Financing Rules
On April 11, 2017, the Financial Industry Regulatory Authority (FINRA) released three regulatory notices requesting comment on rules...
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