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 Smal...
Home Archive by Category "SEC" (Page 5)
FINRA Proposes New Registration And Examination Rules
On March 8, 2017, the Financial Industry Regulatory Authority (FINRA) filed a proposed rule change with the SEC to adopt amended reg...
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SEC Chief Accountant Speaks On Initial Coin Offerings ( ICO’s)
On September 11, 2017, the SEC Chief Accountant, Wesley R. Bricker, gave a speech before the AICPA National Conference on Banks &...
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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...
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FINRA Proposes Expansion Of The OTCBB
In August 2016, FINRA quietly requested comment on a proposal to expand the now largely dormant OTC Bulletin Board quotation service...
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The SEC Has Provided Guidance On Ether and Bitcoin, Sort Of
On June 14, 2018, William Hinman, the Director of the SEC Division of Corporation Finance, gave a speech at Yahoo Finance’s All Mark...
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SEC Adopts Rules to Amend Regulation S-K
On March 20, 2019 the SEC adopted amendments to Regulation S-K as required by the Fixing America’s Surface Transportation Act (“FAST...
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The Treasury Department Report To The President On Capital Markets
In October 2017, the U.S. Department of the Treasury issued a report to President Trump entitled “A Financial System That Creates Ec...
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Equity Market Structure – Musings By The SEC; 15c2-11 And Penny Stocks
In March, SEC Chairman Jay Clayton and Brett Redfearn, Director of the Division of Trading and Markets, gave a speech to the Gabelli...
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