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- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Joe Mont2015-03-17T14:00:00
The SEC is exploring new ways to fulfill its mission to facilitate capital formation for small- and medium-sized companies. While uncertainty still surrounds capital formation efforts included in the JOBS Act, momentum is growing to revisit the SEC’s traditional definition of an accredited investor, and to create new “venture exchanges” ...
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News and analysis for the well-informed compliance or audit exec.
Annual Membership best value
Subscribe now for $365
Our lowest price ($1 per day) for one year.
2015-12-15T13:45:00Z By Joe Mont
Amid speculation of when, or if, Congress would get around to a JOBS Act 2.0—a sequel to a 2012 package of securities law reforms—some of those items surprisingly appeared in a new spending bill for transportation infrastructure. Tucked into the bill are a variety of requirements for the SEC regarding ...
2015-08-04T15:45:00Z By Joe Mont
Congress (and SEC commissioners) routinely complains that the SEC is so focused on churning out overdue rules for compliance with the Dodd-Frank Act, it has neglected to churn out overdue rules on capital formation required under the JOBS Act. In truth, the SEC is likely to move forward with what ...
2024-07-02T13:50:00Z By Aaron Nicodemus
Crypto-friendly Silvergate Bank will pay a total of $63 million penalties to California and the Federal Reserve Board to settle charges that its anti-money laundering program failed to properly monitor more than $1 trillion worth of customer transactions.
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