Events
SEC Forum on Small Business Capital Formation Scheduled for Nov. 19
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The Securities and Exchange Commission will hold its annual Government-Business Forum on Small Business Capital Formation on Nov. 19.
Markets
New FINRA Proposal Calls for Light Regulation of Crowdfunding Portals
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The Financial Industry Regulatory Authority laid out final proposed rules, on Oct. 9, for crowdfunding intermediaries that will accept non-accredited investors when Title III of the JOBS Act is implemented.
News
Labor Department Proposal Could Limit Investment in OTC Stocks
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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.
Markets
SEC’s White Signals Title III Implementation Imminent
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The Securities and Exchange Commission is poised to finalize rules that will allow non-accredited investors to invest in small private equity offerings by emerging growth companies.
On September 23 at a meeting of the Advisory Committee on Small and Emerging Companies in Washington, D.C., Commissioner Mary Jo White addressed the question of when and if retail equity crowdfunding rules will be approved
