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FINRA sweep targets foreign small-cap offerings
The information requests focus on policies, procedures, training, and surveillance controls around small-cap offerings and trading.
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SEC’s report details insights from its spring Small Business Forum
The SEC’s annual Small Business Forum is an event in which members of the public and private sectors provide feedback to improve capital-raising policy.
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SEC won’t bar arbitration mandates in IPOs
The move to easing the IPO registration processes comes as appointees of the Trump administration embrace a business-friendly stance.
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Geopolitical tension a key risk driver for 2025 and beyond
ESMA’s report highlights cyber and hybrid threats, equity and crypto valuations as key risk areas, but points to market resilience and increased investor confidence.
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SEC committee discusses Reg A, finder exemptions
The meeting touched on potentialchanges to Regulation A and the possibility of exemptions from broker-dealer registration for “finders.”
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US House passes 10 Financial Services Committee bills – in one day
The House Financial Services Committee passed 10 bipartisan bills aiming to open up greater investment opportunity to firms of all sizes.
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Bowers delivers remarks on small business investment
The speech, delivered at the “SEC speaks” event, highlighted the importance of small business community engagement.
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Uyeda signals new approach to retail investment in private companies
Acting chair said SEC’s mission is to facilitate capital formation, while protecting investors and maintaining fair and efficient markets.