Tag Archives: ACSEC

Opening Remarks before the SEC Advisory Committee on Small and Emerging Companies

SEC Chairman Jay Clayton discusses the transition from the ACSEC to the New Small Business Capital Formation Advisory Committee and the SEC’s search for the ‘Advocate for Small Business Capital Formation’ in his opening remarks before the SEC Advisory Committee on Small and Emerging Companies on September 13, 2017. SEC Chairman Jay Clayton: “Good morning everyone, and thank you, Steve [Graham] and

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SEC Announces Agenda for September 13 Meeting of the Advisory Committee on Small and Emerging Companies

The Securities and Exchange Commission announced the agenda for the next meeting of its Advisory Committee on Small and Emerging Companies. The committee will discuss the Sarbanes-Oxley Act auditor attestation requirement and explore whether updates are needed to Securities Act Rule 701, which many companies use to provide stock and option awards. The committee also will vote on a final

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An Overview of Finders’ Fees for MicroCap Professionals

  Finders’ fees are a constant point of confusion for microcap management teams. Securities attorney Laura Anthony an overview of “The Payment Of Finders’ Fees- An Ongoing Discussion” on her blog. In general, finders are still a very grey area of finance. Many agree that finders play an important role in helping small businesses source capital in situations too small for traditional broker-dealers.

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