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...
A somewhat underreported section of the Jumpstart Our Business Startups (JOBS) Act relates to what many are now calling Regulation A+ (I acknowledge coining the name at an SEC small business conference). The idea is to enhance the attractiveness of SEC Regulation A. Currently, Regulation A...
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...
The DealFlow Report tells us that the year and a half old case brought by the Securities and Exchange Commission against the Chinese affiliates of major accounting firms still continues. The latest activity: Deloitte lost a motion to delay the case against them until the case against...
New SEC Chairman Mary Jo White announced a rare thing, two co-heads of the Enforcement Division of the SEC. These are the guys that go after alleged bad guys through civil lawsuits. As we know, any criminal securities cases are brought by the US Justice...
The Securities and Exchange Commission's advisory committee on small and emerging companies is holding its next open meeting this Wednesday, May 1, 2013. Speakers include the CEO of Nasdaq, the CEO of WR Hambrecht & Co and the CEO and the NYSE Euronext. An august...
I remain determined in my quest for the major stock exchanges to consider some alterations to the reverse merger “seasoning” requirements instituted in November 2011. As we know, these restrictions were added primarily in response to allegations of fraud in a number of Chinese companies...
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...