Browsing Tag

SEC

SEC Requests Comments on Facilitating Capital Formation in Private Markets

Office of Advocacy Apr 7, 2020

On March 31, 2020, the Securities and Exchange Commission (SEC) published in the Federal Register the proposed rule Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets.…

Alerts Archive

SEC Requests Comments on Changes to Registration Exemptions

Office of Advocacy Jul 10, 2019

On June 26, 2019, the Securities and Exchange Commission (SEC) requested comments on several registration exemptions under the Securities Act of 1933 that facilitate capital raising. The SEC is specifically requesting comments on the…

Alerts Archive

SEC Proposes New Venture Capital Rules for Investment Advisers

Office of Advocacy May 10, 2017

On May 9, 2017, the Securities and Exchange Commission (SEC) issued a proposed rule relating to registration exemptions for investment advisers; the rule would amend the definition of a venture capital fund and the…

SEC Reconsiders Conflict Minerals Rule Implementation

Office of Advocacy Mar 6, 2017

On January 31, 2017, the Securities and Exchange Commission (SEC) announced that the agency would reconsider how to enforce a regulation that requires SEC filers to provide certain disclosures about the use of…

Agency Roundtables

Advocacy hosts Small Business Roundtables on Final Crowdfunding Rule in Colorado

Office of Advocacy Sep 2, 2016

By Dillon Taylor, Assistant Chief Counsel On August 11, Advocacy participated in two small business roundtables in Denver, CO to discuss topics and receive feedback on regulatory issues impacting small business. The events were held…