Skip to Primary Navigation

SEC commissioners address registration exemptions

SEC Chair Gary Gensler, and Commissioners Hester Peirce and Mark Uyeda.
Montage: SEC

The remarks came as prefaces to the November meeting of the Small Business Capital Formation Advisory Committee.

SEC Chair Gary Gensler, and Commissioners Hester Peirce and Mark Uyeda each delivered statements addressed to the Small Business Capital Formation Advisory Committee, which provides the SEC recommendations on rules and regulations that relate to small businesses.

One focus of discussion was Section 3(c)(1) exemption under the ICA 1940, whichaccredited

Get full access, free for a month

Start your 28-day free trial to continue reading and access
all content on GRIP – no payment details required.

What’s included:

  • Every new article, plus our 5,000+ archive
  • Daily regulatory insight and guidance
  • Exclusive interviews and in-depth analysis
  • Coverage of industry-leading events and conferences
  • All podcasts and videos, featuring industry experts
  • The full set of Rules Navigator tools
  • An ad-free experience