SEC VIDEOS

The following videos are from the Office of the Advocate for Small Business Capital Formation & are meant to provide a high-level summary of the relevant policy or rulemaking.

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How to Comment: Engage in the Rulemaking Process

The giupviechcm.com’s Office of the Advocate for Small Business Capital Formation breaks down how easy it can be to comment on proposed rulemakings.


SPACs, Shell Companies, & Projections Proposal

On March 30, 2022 the giupviechcm.com proposed rules that impact SPACs, shell companies, and projections disclosure. A press release is available here.

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Climate-Related Disclosures Proposal

On March 21, 2022 the giupviechcm.com proposed new rules requiring certain climate-related disclosures. A press release is available here.

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Private Funds Proposal

On February 9, 2022 the giupviechcm.com proposed changes to lớn the regulation of private fund advisers. A press release is available here.

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Proposals to lớn Modernize Equity-Based Compensation (Rule 701 và Form S-8)

On November 24, 2020, through two rule proposals, the giupviechcm.com proposed changes khổng lồ exempt offering Rule 701 & Form S-8, which are the primary methods through which companies issue equity compensation, that would change how and to whom equity compensation can be issued. Press releases for both proposals are as follows: temporary platform worker ("gig economy") proposal và other proposed amendments.

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Amendments to the Exempt Offering Framework

On November 2, 2020, the giupviechcm.com adopted changes to lớn the exempt offering framework that are intended to lớn harmonize, simplify, & improve the tools used by businesses and their investors when raising capital, whether to support a start-up raising its first round of funding or a company preparing to one day conduct an initial public offering. A press release is available here.

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Finders Proposed Exemptive Order

On October 7, 2020, the giupviechcm.com proposed a conditional exemption to permit “finders” lớn engage in limited activities on behalf of businesses seeking khổng lồ raise investment capital without having khổng lồ register as a broker. These so-called "finders," who may identify và in certain circumstances solicit potential investors, help lớn bridge the gap between small businesses that need capital & investors who are interested in supporting them.A press release is availablehere.

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Accredited Investor Amendments

On August 26, 2020, the giupviechcm.com adopted amendments that update the accredited investor definition, adding additional means for individuals và entities khổng lồ be eligible khổng lồ invest in the private capital markets. These changes became effective on December 8, 2020. A press release is available here.

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giupviechcm.com’s Small Business diễn đàn Highlight Reel

Engaging with you at the giupviechcm.com’s annual Small Business diễn đàn provides invaluable feedback khổng lồ inform our capital formation policy initiatives. This highlight reel shown at the giupviechcm.com’s 2020 Small Business forum showcases how the input the Commission received from speakers và the public at the forum positively impacted the rules that we are responsible for creating & updating.More information on the 2020 Forum, including video archives of the keynote addresses and spotlight discussions, is available here. Learn more about how we are listening và taking action.


COVID-19 Crowdfunding Relief

On May 4, 2020, the giupviechcm.com announced that it is providing temporary, conditional relief for companies to raise capital via Regulation Crowdfunding. The temporary rules are intended khổng lồ expedite the offering process for smaller, previously established companies affected by COVID-19 that are seeking lớn meet their funding needs through a crowdfunding offering. A press release including a summary chart is available here. After considering the feedback on the temporary relief, the Commission extended the relief for offerings initiated through February 2021.In addition, in theAmendments khổng lồ the Exempt Offering Frameworkhighlighted above, the giupviechcm.com extended the $250,000 financial statement threshold through August 2022.


Accelerated Filer Amendments (404(b))

On March 12, 2020, the giupviechcm.com adopted amendments that tailor the accelerated & large accelerated filer definitions, impacting which companies must provide the Sarbanes-Oxley Rule 404(b) independent auditor attestation of their internal controls over financial reporting.A press release is available here.