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The Securities Edge Securities Blog for Middle-Market Companies

Monthly Archives: March 2014

Proposed relief for companies going public is insufficient

Posted in IPOs

In recent weeks, a bill has been reported out of the House Committee on Financial Services promising relief to companies going public.  While I applaud their intentions, this bill will not have much impact, and if anything, is a solution to problems that don’t exist. On March 14, 2014, the House Committee approved 56-0, a… Continue Reading

Uniform Fiduciary Standard for Broker-Dealers: An Update

Posted in Financial Institutions

As we blogged about last August, Section 913 of the Dodd-Frank Act directed the SEC to study the need for establishing a new, uniform, federal fiduciary standard of care for brokers and investment advisers providing personalized investment advice. Recall that, traditionally, broker-dealers and investment advisors are subject to different duties of care: a suitability standard… Continue Reading