The SEC Advisory Committee on Small and Emerging Companies
("ACSEC") examined (i) Regulation S-K disclosure
requirements, (ii) research regarding corporate board diversity,
and (iii) capital raising initiatives for small companies. In
addition, the Division of Trading and Markets provided an update on
equity market structure initiatives, the tick-size pilot, and the
treatment of so-called "finders" that assist companies in
Committee members agreed that
financial disclosure for smaller and emerging companies should be
focused on what investors want, more principles-based, and less
Promoting board diversity is within
the purview of the SEC, and disclosure concerning board diversity
is important to shareholders.
The tick-size pilot program will last
two years, during which time it will be evaluated on an ongoing
The SEC Division of Trading and
Markets continues to craft an anti-disruptive trading rule to
prohibit certain types of trading that can prove destabilizing
during market stress.
There is a lack of legitimate
information available to small businesses that could assist them in
raising capital. A coordinated effort among the SEC and other
government agencies is needed to address the issue.
The content of this article is intended to provide a general
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