The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee convened virtually on February 24, 2026, marking its first meeting of the year following the government shutdown that disrupted its...more
Securities and Exchange Commission Chair Paul Atkins testified before the House Financial Services Committee and the Senate Committee on Banking, Housing, and Urban Affairs last week, presenting a comprehensive overview and...more
2/18/2026
/ Blockchain ,
Capital Markets ,
Consolidated Audit Trail ,
Corporate Governance ,
Cryptocurrency ,
Digital Assets ,
Disclosure Requirements ,
Enforcement Actions ,
Initial Public Offering (IPO) ,
Proxy Advisors ,
Publicly-Traded Companies ,
Regulatory Oversight ,
Regulatory Reform ,
Securities and Exchange Commission (SEC)
IPOs and Small Public Companies As we noted in our prior post, the Office of the Advocate for Small Business Capital Formation recently issued its Staff Report for fiscal year 2025, which provides information on the Office’s...more
Asset management vehicles, especially those regulated under the Investment Company Act of 1940 (the 1940 Act), are frequently painted with a broad brush and described as having the same or virtually indistinguishable...more
1/13/2026
/ Alternative Investment Funds ,
Asset Management ,
Business Development Companies ,
Closed-End Funds ,
ETFs ,
Exchange-Traded Products ,
Fees ,
Fund Managers ,
Investment Company Act of 1940 ,
Investment Funds ,
Investment Management ,
Mutual Funds ,
Retail Investors ,
Tender Offers
The Office of the Advocate for Small Business Capital Formation recently issued its Staff Report for fiscal year 2025, which provides information on the Office’s activities. As do prior reports, this Report provides a...more
1/13/2026
/ Accredited Investors ,
Capital Formation ,
Capital Markets ,
Exemptions ,
Initial Public Offering (IPO) ,
Investment Funds ,
Private Funds ,
Publicly-Traded Companies ,
Regulation A ,
Regulation CF ,
Regulation D ,
Retail Investors ,
Securities and Exchange Commission (SEC) ,
Small and Medium-Sized Enterprises (SMEs) ,
Small Business
On December 15, 2025, Nasdaq submitted a proposed rule change to the Securities and Exchange Commission (the “SEC”) seeking approval to expand significantly its equity trading hours. If approved, the change would allow...more
Although it may seem early, it is already time to start preparing for the 2026 annual report and proxy season. While many disclosure requirements remain consistent from prior years, there has been a significant shift in the...more