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Category Archives: Advisory Committee on Smaller and Emerging Companies

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Advisory Committee will Consider Accredited Investor Definition

Posted in Accredited Investor Standard, Advisory Committee on Smaller and Emerging Companies, SEC News

The SEC announced that at the December 17th meeting of the Advisory Committee on Small and Emerging Companies, the group will focus on the definition of “accredited investor.”  As we have written in prior posts, the Dodd-Frank Act requires that every four years the SEC consider the definition.  In addition, following the relaxation of the… Continue Reading

Venture Exchanges in the U.S. and Right-Sized Disclosure Requirements

Posted in Advisory Committee on Smaller and Emerging Companies, SEC News

In a recent speech delivered at a Futures Industry Association conference (see full text here: http://www.sec.gov/News/Speech/Detail/Speech/1370540289361), Commissioner Gallagher raised the possibility of a venture exchange.  Commissioner Gallagher addressed broader market structure issues in his remarks; however, he devoted a substantial portion of the speech to the benefits that might be associated with a venture exchange… Continue Reading

September 17 Meeting of SEC Advisory Committee on Small and Emerging Companies

Posted in Advisory Committee on Smaller and Emerging Companies

Today, the SEC announced the agenda for the upcoming meeting of the Advisory Committee on Small and Emerging Companies.  The discussion is expected to include the final rules adopted by the Commission in July to eliminate the general solicitation ban and disqualify bad actors from certain securities offerings and its proposal for further amendments to… Continue Reading

Advisory Committee on Small and Emerging Companies

Posted in Advisory Committee on Smaller and Emerging Companies

The SEC has made available the archived version of the webcast from the most recent meeting, held on May 1, 2013.  The meeting included presentations from Duncan Niederauer, Chief Executive Officer of NYSE Euronext, and William Hambrecht, CEO of WR Hambrecht + Co., as well as discussions with several Commissioners.  The webcast is accessible from… Continue Reading

Agenda for May 1 Meeting of Advisory Committee On Small and Emerging Companies

Posted in Advisory Committee on Smaller and Emerging Companies

The next meeting of the Advisory Committee will be held on May 1st, beginning at 9:30 am, and will be webcast on the SEC’s website.  It is anticipated that the presentations will address various JOBS Act related matters.  The SEC announced that the Committee will hear presentations from Robert Greifeld, Chief Executive Officer of NASDAQ… Continue Reading

Advisory Committee Webcasts Available; Committee Recommendations Discussed

Posted in Advisory Committee on Smaller and Emerging Companies

The SEC has made available links to the webcasts from Friday’s meeting of the Advisory Committee on Smaller and Emerging Companies.  You may access the morning session at http://www.sec.gov/news/otherwebcasts/2013/acsec020113.asx and the afternoon session at http://www.sec.gov/news/otherwebcasts/2013/acsec020113-2.asx.  Chairman Walter began the meeting with a few opening remarks, which may be accessed here: http://www.sec.gov/news/speech/2013/spch020113ebw.htm.  Chairman Walter invited the… Continue Reading