Today’s post is the penultimate of this series covering the recently signed JOBS Act, and covers the Act’s Title I – Reopening American Capital Markets to Emerging Growth Companies.  Check back later this

Continue Reading Emerging Growth Companies – A Bigger Deal Than You Might Think

FINRA’s membership application program (“MAP”) is changing.  FINRA’s review of initial membership and continuing membership applications for broker-dealers will now be centralized in the MAP.

Further, as part of MAP

Continue Reading FINRA Is Centralizing Its Membership Application Program

Thought you might be interested in a recent podcast I did concerning my securities law practice. Reading Securities Podcast with Ernest Badway

Everyone loves small businesses, even if they might not be the job-creating economic saviors we want them to be. No one likes bailing out Wall Street, but Main Street? That’s something we can all agree on!

On Wednesday, a subcommittee of the House Committee on Financial Services advanced a few interesting bills aimed at reducing regulatory burdens for small cap corporations.
While some were approved by voice votes, suggesting broad bipartisan appeal, two ran down party lines, portending a difficult path ahead.
Continue Reading Legislative Lookout: Crowdfunding – not just for non-profits anymore?