Category: Smaller Reporting Company

Remarks at the Virtual Small Business Forum
  • Admin
  • Jul 24, 2020
On June 18th, 2020, The Office of the Advocate for Small Business Capital Formation virtually hosted the SEC's 39th annual Government-Business Forum on Small Business Capital Formation. The SEC Chairm....
Office of the Advocate for Small Business Capital Formation Response to COVID-19
  • Admin
  • May 26, 2020
SEC Small Business Capital Formation Advisory held a virtual meeting on April 2, to discuss the impact of Covid-19 on small businesses along with proposed and adopted relief measures. SEC Chairman Jay....
Transition to the T+2 Settlement Cycle
  • Eric Mellmer
  • Aug 02, 2017
Rule 15c6-1(a) - From T+3 to T+2 In March 2017, the Securities and Exchange Commission (SEC) amended Rule 15c6-1(a), shortening the settlement cycle from T+3 to T+2. The “T” in “T+2” and “T....
The House Passes the Financial CHOICE Act
  • Eric Mellmer
  • Jul 01, 2017
On June 8, 2017, the House of Representatives passed the Financial CHOICE Act  (“Creating Hope and Opportunity for Investors, Consumers and Entrepreneurs”). The act regulates banking institution....
FINRA Aims to Change Three Financial Rules
  • Eric Mellmer
  • Jun 05, 2017
On April 12, 2017, the Financial Industry Regulatory Authority (FINRA) published three regulatory notices proposing amendments to three of their rules regarding capital formation, corporate financing,....
SEC Advisory Committee on Small and Emerging Companies Presentations
  • Shelby Wayment
  • Aug 13, 2016
The SEC Advisory Committee on Small and Emerging Companies met on February 25, 2016 to discuss access to capital and private offerings. This Committee was organized by the SEC to provide advice on any....
Proposed Amendments to the Investment Advisers Act Rules
  • Shelby Wayment
  • Aug 05, 2016
The SEC recently proposed several amendments to the Investment Advisers Act of 1940, commonly referred to as the “Advisers Act.” These amendments specifically focus on rule 203(l)-1 and rule 203(m....
SEC Implements FAST Act with Revisions to Forms S-1 and F-1
  • Shelby Wayment
  • Mar 15, 2016
The Fixing America’s Surface Transportation Act (FAST Act) was signed into law on December 4, 2015 by President Barrack Obama. The FAST Act contains many securities related bills which required SEC ....
Three Reasons to Consider Equity-Based Crowdfunding for Your Startup Company
  • Eric Mellmer
  • Dec 19, 2015
Most beginning entrepreneurs do not find themselves in a situation where the money they need to start their business is readily available. In fact, the opposite is true, with many entrepreneurs strugg....
Proposed Rule on Executive Compensation and Performance
  • Dan Carter
  • May 21, 2015
Shareholders Can Gain a Better Understanding of Corporate Governance On April 29, 2015, the SEC proposed a ruling that would require corporations to disclose the relationship between executive pay an....
The Lessons of Citigroup’s Say on Pay Loss
  • Admin
  • Jan 31, 2011
As large and small reporting companies get ready for their annual meetings this year, they should keep in mind the new rules involving shareholder approval on executive compensation. These rules, requ....
What is Say On Pay?
  • Admin
  • Jan 30, 2011
As large and small reporting companies get ready for their annual meetings this year they should keep in mind the new rules involving shareholder approval on executive compensation. These rules, requi....