Category: SEC

EDT
The Small Business Capital Advisory Committee held a meeting on February 2nd to discuss the Advocate for Small Business’s Capital Formation 2019 annual report, focusing on small business capital formation. The committee meeting was comprised of four panels; each of which had their own topic and key speakers. Panel I: Overview of Annual Report from
EDT
Over the last couple years, more and more companies have decided to go public. Whether it’s attracting a larger audience, establishing credibility with suppliers and vendors, or raising additional capital, there are many benefits to conducting an initial public offering. Finding the right approach and support group can be challenging but worth it. Here is
EDT
Under the current rule, an “Accredited Investor” is defined by “any person who falls within any of the following categories, or who the issuer reasonably believes falls within any of the following categories, at the time of sale of the securities to that person…” and lists entities such as banks, savings and loan associations. The
EDT
On October 11th of this year, a joint statement by the SEC, FinCEN, and the CFTF was released. This statement was a single node in a growing network of legal discourse on digital assets and currencies. It functioned largely as a clarification of law surrounding digital assets. It includes specific statements from each entity involved,
EDT
On September 24th of this year, all five SEC commissioners were invited to attend a House Financial Services Committee Hearing. This marked the first time the full commission attended a hearing since 2007, a full dozen years prior. The hearing was officially entitled “Oversight of the Securities and Exchange Commission: Wall Street’s Cop on the
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EDT
The Office of Compliance Inspections and Examinations (OCIE) of Securities and Exchange Commission (SEC) has revealed its examination priorities for the year 2019, on December 20, 2018. Every year OCIE publishes its examination priorities to emphasize its commitment to transparency, and promote it in the examination programs. The OCIE examination priorities are provided to give