Growth Capitalist (https://growthcapitalist.com/prominence/category-featured/page/65/)
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The fight between the big exchanges and the trading firms who run off-market dark pools is looming large in the debate over how the Securities and Exchange Commission’s tick size pilot program rules should be implemented.
The Securities and Exchange Commission has fined and barred two PIPE fund managers from the advisory industry for a minimum of two years for misappropriating fund assets for personal use.
Two recent enforcement actions by the Securities and Exchange Commission impacted investors in emerging growth companies (EGCs), and should serve notice on other EGC investors that the commission’s enforcement division is watching investor behavior around equity private placements and follow-on offerings closely in the micro- and small-cap markets.
Tallwood Venture Capital and Alcatel-Lucent are the leading a three-part capital raise of $85.6 million for semiconductor maker Ikanos Communications (IKAN).
