Growth Capitalist (https://growthcapitalist.com/prominence/category-featured/page/44/)
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A provision of a new rule under consideration by the Labor Department would ban investment advisers from receiving compensation for advising holders of regulated retirement accounts to buy stocks that trade over the counter.
H.C. Wainwright & Co. was the most active placement agent in the private-investment-in-public-equity market last quarter, arranging at least 45 PIPEs that raised a total of $932.6 million.
The Securities and Exchange Commission is proposing a set of reforms to its administrative legal process in apparent response to criticism that defendants are treated unfairly in the SEC’s own internal courts.
In what appears to be the final blow to an unusual strategy of investment in pre-IPO companies, closed-end fund BDCA Venture Inc. (Nasdaq: BDCV) said its board approved the termination of its investment advisory agreement.
