Tag Archives: Legislation

Changes Introduced to UK Family Law

The Queen has announced that changes will be made to legislation surrounding family law. An entirely new Children and Families Bill was announced during the Queen’s Speech at the state opening of Parliament. The new bill will see implemented changes … Continue reading

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Federal Legislation Would Curb Excessive Energy Derivatives Position Limits and Define Excessive Speculation

Concerned with proposed CFTC regulations on energy derivatives position limits, Senator Bill Nelson (D-FL) has introduced legislation under which no single investor could hold more than 5 percent of the oil futures market thereby greatly reducing speculators ability to manipulate … Continue reading

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SEC Official Discusses 404(b) as Draft Legislation Would Exempt Companies with up to $500 million Market Cap from 404(b)

As the SEC staff works with the PCAOB to monitor auditor inspection results on 404(b) internal controls, U.S. Representative Stephen Fincher (R-TN) introduced draft legislation, The Small Company Job Growth and Regulatory Relief Act, expanding the exemptions available to small … Continue reading

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State Securitiies Officials Concerned with Legislation Lifting General Solicitation Ban in Rule 506 of Regulation D

State securities commissioners have urged Congress to carefully consider the impact of legislation that would lift the general solicitation ban in Rule 506 of Regulation D. In testimony before the House Capital Markets subcommittee, Arkansas Securities Commissioner Heath Abshure, speaking … Continue reading

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Bi-Partisan Senate Legislation Would Raise SEC Reg A Exemption to $50 Million

Senators Jon Tester (D-Mont.) and Pat Toomey (R-Pa.) have introduced legislation cutting regulatory burdens on small businesses and expanding their access to much-needed capital. The bipartisan Small Company Capital Formation Act makes it easier for small startup companies to raise … Continue reading

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