As we know, the Dodd-Frank Act required advisors to larger private equity and hedge funds to register with the SEC. The real focus of this was on hedge fund advisors, to bring them out of the shadows and let the SEC know what they are...
The US House of Representatives has introduced a bill to permit simplified broker-dealer registration by "M&A brokers," intermediaries who focus on putting companies together. Previously they have had to go through an expensive registration process and the significant costs and burdens of maintaining their status...
President Obama last week nominated two senior US Senate aides to replace one Democratic and one Republican commissioner of the Securities and Exchange Commission. As we know, there are 5 commissioners, two from each party and then the fifth is a chair from the party...
StockNewsNow recently posted an interview I did a few months ago while attending the Roth conference in California. I talk about the JOBS Act, entrepreneurship, the SEC, my firm and more. You can check it out at http://www.youtube.com/watch?v=LsfxUk6XU_U. Enjoy!...
The US House of Representatives passed a bill recently giving the Securities and Exchange Commission a deadline for completing Regulation A rulemakings required by the Jumpstart our Business Startups (JOBS) Act. The law did not have a deadline, the bill would require rules to be...
A few weeks ago the Securities and Exchange Commission announced a new permanent head of its Division of Corporation Finance, Keith Higgins. He is currently a partner at the law firm Ropes & Gray in Boston and is expected to start in June. Also, interim...
Each year following the annual SEC forum on small business capital formation, a list of attendee recommendations is published. The recommendations are ranked by the attendees following the event, and the SEC puts them out in order of priority. Congress mandated that the SEC hold this...
Mary Jo White was sworn in as the new Chair of the SEC on April 10 following the unanimous consent of her appointment by the US Senate. Like her predecessor, Ms. White prefers to be called Chairman. Chairman White has quite the agenda before her. Dodd-Frank...