The SEC’s Small Business Capital Formation Advisory Committee met to discuss the definition of “accredited Investor” and diversity in the investment process.
December 01, 2023
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Federal Agencies Release Spring 2021 Regulatory Agendas
Federal agencies recently released the spring 2021 update to their regulatory agendas. These agendas are the first issued under the Biden Administration and reflect this administration’s policy priorities.
June 16, 2021
SEC’s Lee Tackles Climate & ESG Disclosure, Data Collection, Private Market Reforms
SEC Commissioner Allison Herren Lee laid out her views on climate- and ESG-related disclosure, her investor protection concerns relating to implementation of Reg BI, and more in two recent speeches.
May 25, 2021
SEC Investor Advocate Offers Harsh Critique of Regulator in Report to Congress
SEC Investor Advocate Rick Fleming has submitted a scathing Report on Activities for fiscal year 2020.
January 13, 2021
SEC Broadens Accredited Investor and Qualified Institutional Buyer Definitions
The SEC has, by a 3-2 vote, adopted amendments to the “accredited investor” definition in Regulation D and “qualified institutional buyer” definition in Rule 144A.
August 26, 2020
IAA Urges SEC to Expand, Simplify Access to Exempt Offerings
The IAA is calling on the SEC to expand access to the private markets and make it easier for advisers to communicate with potential investors – in a new comment letter on the SEC’s exempt offering proposal from March 2020.
June 03, 2020
The IAA recently submitted a comment letter to the SEC in response to its proposed amendments to the definitions of “accredited investor” in Rule 501 of Regulation D and “qualified institutional buyer” in Rule 144A under the Securities Act of 1933.
March 23, 2020