Highlights from SEC Small Business Conference Part II
Here are more take-aways from today’s SEC conference. 1. Many are asking for the SEC to try to provide a “safe harbor” that’s nonexclusive to ensure that a company has verified an investor’s accredited...
View ArticleReverse Merger Market Improving
We learn from the latest DealFlow Report that November has already been the best month for reverse mergers since June. Eight deals have already been completed this month. If one more gets done then it...
View ArticleFlash: Schapiro Stepping Down as SEC Chair
SEC Chairman Mary Schapiro announced this morning that she is leaving her job effective December 14. This was widely expected. The short span from announcement to departure was not as widely expected....
View ArticleSEC Chair-Designate Elisse Walter Could Remain for a Year or More
There has been a minor hubbub about what exactly SEC Commissioner Elisse Walter was appointed as following the planned resignation of current Chair Mary Schapiro. First the White House said she would...
View ArticleCrowdfunding Rules Could be Delayed
We learn from today’s DealFlow Report that many are saying it could be a year or more before the SEC releases the much-awaited rules under the Jumpstart our Business Startups (JOBS) Act which will...
View ArticleHead of SEC Corp. Fin. Meredith Cross Leaving
In the latest in a series of high level departures, Director of the SEC’s Division of Corporation Finance, Meredith Cross, announced Tuesday that she is leaving the SEC by the end of the year. There is...
View ArticleDecimalization Issue Not Dead
We learn from The DealFlow Report that the SEC has scheduled a roundtable on the issue of decimalization of stock prices, which may include discussion of possible pilot programs to try different plans...
View ArticleNew Year’s Wishes for Smallcap World for 2013
For now the 6th year in a row I’m happy to throw out my wish list for the small and microcap world and those into alternatives to a traditional IPO to go public. As always I want to give special thanks...
View ArticleNallengara Appointed Acting Director of SEC Corporation Finance
Last week, on her first day as new SEC Chair, Elisse B. Walter named Lona Nallengara as Acting Director of the Division of Corporation Finance, to replace Meredith Cross who announced earlier this...
View ArticleSee You at OneMedForum!
I am headed to Florida tomorrow for client meetings, then to San Francisco for next week’s OneMedForum conference. I’ll be running a workshop there on the JOBS Act with my partner Nimish Patel. For...
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