- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
2015-03-17T14:00:00Z By Joe Mont
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” ...
2015-03-17T13:30:00Z By Joe Mont
When the SEC sends a formal inquiry into your company’s operations, you know you have a problem to be handled in strict ways. So what about when the SEC delivers an “informal” request—and all those speeches and opinions, for that matter, that can sound an awful lot like formal guidance ...
2013-12-31T00:00:00Z By Tammy Whitehouse
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