Fears of Stock Fraud Could Explain SEC Slowness on Reg D: Attorney

If the Securities and Exchange Commission is slow to implement the marketing exemption of this year’s JOBS Act, it may be because regulators fear opening a vector that could be a “shill for fraudulent vehicles,” Robert B. Kaplan, a partner in the law firm Debevoise & Plimpton LLP, told sister magazine Buyouts.

Wake Up The IPO Ecosystem

In their latest report on the long-term ills affecting the IPO markets, David Weild and his co-authors laser lock on market structure and persuasively argue in a series of Grant Thornton white papers that increasing “tick” sizes will restore capital formation, jobs and investor confidence. Tick sizes? Yes, they’re talking about tick sizes (i.e., the minimum increment in which a stock can trade) and they’re right.

The Unexpected Outcomes of the JOBS Act

The measure, passed by Congress in March, is designed to grease the IPO onramp for small companies. Three months after it was signed into law, signs of its impact, both expected and unexpected, are visible.

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