Tagged: daniel gallagher

April 16, 2015 @ 9:45 am By JD Alois  |  

In a world of growing governmental over-reach it is rare to find a regulator who wants to do less not more.  But it makes sense. Budgets are made, and funding allocated, based on predicted needs of tomorrow not the reality of last year. Legislators make rules… Read More

March 30, 2015 @ 1:12 pm By Samuel Guzik  |  

Having just read SEC Commissioner Daniel M. Gallagher’s remarks at Vanderbilt Law School last Friday,  he may not be the only champion of smart regulation for small business capital formation.  But he is surely one of the most visible and important voices in this area. … Read More

March 30, 2015 @ 12:08 pm By JD Alois  |  

We reported on Saturday that Commissioner Daniel Gallagher had visited the land of the Commodores in Nashville and delivered a piercing speech where he labeled Title III, retail crowdfunding as similar to former East Bloc Germany. While I wondered who would play the role of… Read More

March 28, 2015 @ 6:47 am By JD Alois  |  

SEC Commissioner Daniel Gallagher gave a speech yesterday at the Vanderbilt Law School in Nashville. While the text of the speech is not yet available, Bloomberg has quoted  the Commissioner on Title III of the JOBS Act as being smothered by red-tape.  Effectively he is highlighting… Read More

March 25, 2015 @ 12:45 pm By JD Alois  |  

The Securities and Exchange Commission met today to finalize rules for Title IV of the JOBS Act, commonly referred to as Regulation A+.  As expected the Commission quickly approved rules that included state Blue Sky pre-emption but for only Tier 2 of Title IV.  The… Read More

March 11, 2015 @ 7:00 am By Samuel Guzik  |  

To borrow a line from SEC Commissioner Daniel M. Gallagher, quoting from the fight song of his alma mata, Georgetown University:  Oh How Long It’s Been! As we approach the three year anniversary of the signing into law of the JOBS Act of 2012 it… Read More

January 30, 2015 @ 1:24 pm By JD Alois  |  

OTC Markets Group (OTC: OTCM), the US based marketplace that provides liquidity for over 10,000 over the counter securities, has published a round up of 2014 accomplishments. Cromwell Coulson, CEO of the company lauded the final results; “2014 has been a year of accomplishment with the… Read More

January 19, 2015 @ 9:00 am By Samuel Guzik  |  

    Though time has seemingly stood still on JOBS Act rulemaking at the SEC nearly one thousand days after its passage, the world continues to complete a full rotation every 24 hours – and it seems that the rest of the world is passing… Read More

January 2, 2015 @ 9:35 am By JD Alois  |  

With 2014 finally at an end and 2015 just kicking off it is that time of year when predictions on the future of crowdfunding roll in.  Crowdfund Insider has already published more than a few interesting predictions for 2015 and we expect more to follow…. Read More

December 17, 2014 @ 9:34 pm By JD Alois  |  

Earlier today at the offices of the SEC the Advisory Committee on Small & Emerging Companies held their first meeting in quite some time.  The appointed pro-bono group is convened at the invitation of SEC Chair Mary Jo White. This diverse gathering of professionals is… Read More

December 10, 2014 @ 6:42 am By Kiran Lingham  |  

  Momentum is building towards a consensus on the highly controversial updates to the accredited investor definition (currently a person who has over $200,000 in income (or $300,000 jointly with spouse) or over $1M in net worth, excluding personal residence). Initially, there was some suggestion… Read More

December 6, 2014 @ 3:54 pm By JD Alois  |  

Chatter is starting to pick up regarding release of final rules for Title IV of the JOBS Act – a portion of the legislation that is regularly referred to as Regulation A+. Some industry followers are of the opinion that final rules are to be… Read More

December 3, 2014 @ 9:32 am By Samuel Guzik  |  

It could have been the kickoff of a grand political campaign – a slogan that would be proud to adorn a bumper sticker for the most ambitious of politicians – and a sound byte that would be sure to grab the next day’s headlines in… Read More

November 28, 2014 @ 7:32 am By Kim Wales  |  

The 2014 Securities and Exchange Commission Government-Business Forum on Small Business Capital Formation ensued on November 20, 2014 at the SEC headquarters in Washington, D.C. In usual form, since the signing of the Jumpstart Our Business Startups Act (JOBS Act), the crowd (attorney’s, issuers, intermediaries, regulators, investors,… Read More

November 26, 2014 @ 8:00 am By Anthony Zeoli  |  

  Last week I had the opportunity to attend the 2014 Government-Business Forum on Small Business Capital Formation in Washington D.C. where Commissioner Daniel M. Gallagher gave his opening remarks after the first panel. In what I can only refer to as a “mic drop”… Read More

November 24, 2014 @ 3:07 pm By Samuel Guzik  |  

For those of you who have been reading my articles over the past four months, I have tried to create heightened awareness of a perennial SEC event, the SEC Government-Small Business Forum, an annual event borne out of bi-partisan legislation in 1980. Its primary purpose:… Read More

November 16, 2014 @ 2:22 pm By Samuel Guzik  |  

Though SEC Commissioners Daniel M. Gallagher and Kara Stein may have travelled on the same plane on the way to the Los Angeles County Bar Association Annual Securities Regulation Conference to address a room of securities industry professionals on October 24, judging by their public… Read More

November 10, 2014 @ 7:27 am By Samuel Guzik  |  

As one who has represented small and emerging growth companies over the past 36 years in navigating access to the capital markets, I have closely followed the legislative and regulatory developments in Washington, D.C. since the enactment of the Jumpstart Our Business Startups Act of… Read More

October 29, 2014 @ 3:00 pm By JD Alois  |  

DJ Paul, CFIRA Co-Chair and CSO of Propellr, has been appointed by SEC Chair Mary Jo White to become a member of the SEC Advisory Committee on Small & Emerging Companies for a term that begins immediately.  The SEC established this committee in 2011 as… Read More

September 17, 2014 @ 5:36 pm By JD Alois  |  

Earlier today (September 17th), during a presentation delivered at the Heritage Foundation in Washington, DC, SEC Commissioner Daniel Gallagher gave a thoughtful, concise and concerned speech regarding the incredibly important needs of small business in the United States.  Recognizing that “small business is the lifeblood… Read More