SEC Proposes Rule Changes to Harmonize, Simplify and Improve the Exempt Offering Framework / Proposed amendments would provide a more rational framework, eliminate complexity and increase access to capital while preserving and enhancing important investor protections (SEC Release)
Harmonizing, Simplifying and Improving the Exempt Offering Framework by SEC Chair Jay Clayton
Statement on Proposed Amendments for Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets by SEC Commissioner Hester M. Peirce
Statement on Proposed Amendments to the Exempt Offering Framework by SEC Commissioner Allison Herren Lee
Statement on the Harmonization Proposal by SEC Commissioner Elad L. Roisman
SEC Provides Conditional Regulatory Relief and Assistance for Companies Affected by the Coronavirus Disease 2019 (COVID-19) / SEC is closely monitoring the impact of the coronavirus on investors and capital markets (SEC Release)
[In]Securities Guest Blog: The Fever by Aegis Frumento Esq (BrokeAndBroker.com Blog)
Two Bank Insiders And A Third Man Arrested In Bank Bribery And Money Laundering Conspiracy (DOJ Release)
Please Consider Adding a Trusted Contact to Your Account / FINRA and the SEC's Office of Investor Education and Advocacy are issuing this Investor Bulletin to urge you to consider adding a "trusted contact person" to your brokerage account (FINRA Release)
UTMA and UGMA Accounts / FINRA Reminds Member Firms of Their Responsibilities for Supervising UTMA and UGMA Accounts (FINRA Regulatory Notice)
