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As this election year begins and the prolonged downturn in the economy continues, the political rhetoric is creeping up and more politicians are jumping on the bandwagon to rail against regulatory hurdles to raising capital
The bill titled "to amend the securities laws to establish certain thresholds for shareholder registration, and for other purposes," sponsored by Rep. James A. Himes, would amend Section 12(g) of the Exchange Act to increase the assets of an issuer required to register with the SEC from $1 million to $10 million
On June 22, 2011, the Securities and Exchange Commission (the “SEC”) amended the investment advisor “pay-to-play” rule in response to changes made by the Dodd-Frank Act
The SEC has proposed a rule that would require certain financial institutions, including broker-dealers and investment advisers with assets of at least $1 billion, to disclose the structure of their incentive-based compensation practices
