As broker-dealers prepare to implement policies to comply with the SEC’s Regulation Best Interest (Reg BI), one requirement they ...
March 20, 2020
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The omnibus bill (The JOBS Act 3.0), as described by Representative Jeb Hensarling in an op ed for the Wall Street Journal, ...
July 23, 2018
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On February 6, 2018, SEC Commissioner Michael Piwowar spoke at the University of Richmond School of Businessas part of its Robins ...
March 8, 2018
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Historically, investing in securities has been a largely manual process with documents being mailed or faxed back and forth to be ...
August 16, 2017
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This morning in our nation’s capital, the SEC voted to approve the final rules for Title III of the JOBS Act, commonly referred ...
October 30, 2015
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On Monday, an article on the cover of the WSJ highlighted a recent enforcement action against California-based Sand Hill ...
July 9, 2015
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When reading Inc. Magazine, Fast Company, TechCrunch or any other startup-related news sources out there, you’ll notice a ...
May 28, 2015
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A new way to do things opens up hazards that can be hard to navigate. We’ve all done it, jumped in to something we thought we ...
October 31, 2014
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Much attention has recently been given to the JOBS Act and its impact on the ability of companies to raise capital through ...
October 28, 2014
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Dawn Lim’s piece in the Wall Street Journal, What Keeps Private Equity Up at Night was largely a synopsis of a recent survey ...
October 22, 2014
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