Law Blog Tag: SEC Advisory Committee

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 that assist companies in fundraising and related services. I have previously discussed the no-action-letter-based exemption for M&A brokers, the exemptions for websites restricted to accredited investors and for crowdfunding portals as part of the JOBS Act and the Read the full article…

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

SEC Advisory Committee On Small And Emerging Companies Reviews Capital Formation

SEC Gives Insight On 2016 Initiatives

SEC’s Financial Disclosure Requirements For Sub-Entities Of Registered Companies

As required by the JOBS Act, in 2013 the SEC launched its Disclosure Effectiveness Initiative and has been examining disclosure requirements under Regulation S-K and Regulation S-X and methods to improve such requirements. In September 2015, the SEC issued a request for comment related to the Regulation S-X financial disclosure obligations for certain entities other Read the full article…

SEC Issues Report On Accredited Investor Definition

SEC Advisory Committee Recommendations Related To Finders

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

SEC Congressional Testimony – Part 3

SEC Advisory Committee On Small And Emerging Companies Explores Venture Exchanges, Private And Secondary Securities Trading and The NASAA Coordinated Review Program- Part I

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