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Articles 1 - 3 of 3
Full-Text Articles in Securities Law
Capital Offense: The Sec's Continuing Failure To Address Small Business Financing Concerns, Stuart R. Cohn, Gregory C. Yadley
Capital Offense: The Sec's Continuing Failure To Address Small Business Financing Concerns, Stuart R. Cohn, Gregory C. Yadley
Stuart R. Cohn
Despite years of criticism from small business advocates, the Securities and Exchange Commission has made little effort to ameliorate the severe burdens on small companies seeking to raise capital in compliance with the Securities Act of 1933 and SEC regulations. Substantial SEC attention has been given in recent years to improving the capacity of large, publicly-held companies to market securities, but smaller companies have suffered from less-than-benign neglect. Responding to this concern, the SEC recently adopted several proposals, and has others pending, aimed at small business financing. These proposals and adoptions, while modestly helpful, fall far short of addressing the …
The Facebook Status That Sparked An Sec Investigation: Regulation Fair Disclosure And The Growth Of Social Media, Alyssa Wanser
The Facebook Status That Sparked An Sec Investigation: Regulation Fair Disclosure And The Growth Of Social Media, Alyssa Wanser
Touro Law Review
No abstract provided.
Downstream Securities Regulation, Anita Krug
Downstream Securities Regulation, Anita Krug
All Faculty Scholarship
Securities regulation wears two hats. Its “upstream” side governs firms in connection with their obtaining financing in the securities markets. That is, it regulates firms’ and issuers’ offers and sales of securities, whether in public offerings to retail investors or in private offerings to institutional investors. Its “downstream” side, by contrast, governs financial services providers, who assist with investors’ activities in those markets. Their services include providing advice regarding securities investments, as investment advisers do; aggregating investors’ assets for purposes of enabling those investors to invest their assets collectively, as mutual funds do; and acting as “middlemen” between buyers and …