Remarks From Baruch College’s Financial Markets Conference Thomas Gira Executive Vice President, Market Regulation New York, NY NOVEMBER 11, 2015 Good morning. It’s a pleasure to be here. Let me thank Bob Schwartz, first, for the invitation to talk with you this morning, and second, for his tireless work to foster a greater understanding of…

When a company (the “Company“) is considering submitting a listing application to list its common shares for trading on the NYSE MKT LLC (formerly AMEX, “NYSE MKT”) there are certain requirements that need to be fulfilled.  This blog post summarizes the listing and corporate governance requirements and listed company fees of NYSE MKT for common…

Commissioner Aguilar’s (Hopefully) Helpful Tips for New SEC Commissioners Commissioner Luis A. Aguilar A public statement published by the Securities and Exchange Commission U.S. Securities and Exchange Commission[1] Nov. 30, 2015 I have had an interesting and eventful run at the SEC since I was first sworn in on July 31, 2008, which was shortly…

The Continuing Work of Enhancing Small Business Capital Formation Commissioner Luis A. Aguilar Public Statement Issued by the U.S. Securities and Exchange Commission[1] Nov. 19, 2015 Thank you and good morning. Let me start by extending a warm welcome to the panel members and other participants, including those viewing by webcast, to today’s Government-Business Forum…

SEC Proposes Rules to Enhance Transparency and Oversight of Alternative Trading Systems FOR IMMEDIATE RELEASE 2015-261 Washington D.C., Nov. 18, 2015 —The Securities and Exchange Commission today announced it has voted to propose rules to enhance operational transparency and regulatory oversight of alternative trading systems (ATSs) that trade stocks listed on a national securities exchange…

Keynote Address at the 47th Annual Securities Regulation Institute: “Building a Dynamic Framework for Offering Reform”  Chair Mary Jo White New York, New York Oct. 28, 2015 Thank you, Alan [Beller], for that generous introduction. I am very pleased to be here to help kick off the 47th Annual Securities Regulation Institute. As some of…

Regulation Crowdfunding Rules Part II: What Companies Raising Capital Must Disclose This blog post is the latest in a series of blog posts about Regulation Crowdfunding. Part I is linked here.  If you have any questions about crowdfunding, capital raises, or funding portals email gil@bradshawlawgroup.com or call (917) 830-6517 and we will give you a…

FINRA’s Proposed Rules for Funding Portals Title III of the Jumpstart Our Business Startups Act (“JOBS Act”) was enacted in 2012 with the goal of increasing American job creation and economic growth. Specifically, Title III authorizes and regulates equity “Crowdfunding” which is basically using business models like Kickstarter and Indiegogo to sell equity securities. Under…

The Jumpstart Our Business Startups Act (“JOBS Act”) was passed by Congress in April 2012 has been implemented in stages through a contentious standoff between the SEC and Congress.  This sweeping reform was passed by Congress and the SEC was not given sufficient resources to implement the JOBS Act. Timeline for JOBS Act Implementation Title…

Any student of securities laws knows that the Federal Deposit Insurance Corporation plays an important role in safeguarding the integrity of our financial markets.  I’m very interested in the FDIC and I’m surprised there aren’t more histories written about it.  Here is my brief summary of what is out there so far. The Federal Deposit…