US Department of the Treasury Report on Capital Markets

By | 04/23/2018 | 11:22 am ET

President Trump issued executive order 13,772 on February 3, 2017, which aimed to regulate the U.S. financial system with a set of core principles. In response, the U.S. Department of the Treasury prepared a report titled, “A Financial System That Creates Economic Opportunities: Capital Markets”, to identify all laws and regulations that are either compliant or inhibit regulation according to these core principles. These core principles are: Empower Americans to…

Read more

Amendments to Investment Advisers Act

By | 04/23/2018 | 11:17 am ET

In August of 2016, the SEC adopted the proposed amendments to the Investment Advisers Act, in addition to the investment adviser registration and reporting form, commonly known as Form ADV. These changes were designed to provide the public with additional information and disclosures, help investment advisers have more efficient reporting, and allow the SEC to better monitor industry risk. In addition, these changes will better reflect changes from the Fixing…

Read more

OTC Markets’ New Stock Promotion Policy

By | 03/30/2018 | 1:26 pm ET

On November 7th, the OTC Markets Group released a new stock promotion policy. This policy aims to improve the overall market transparency for investors, while addressing the issue of misleading, manipulative, or fraudulent stock promotion. Fraudulent Promotional Campaigns The wide use of digital media has allowed companies to interact and reach investors in a variety of new and different ways. While this can be beneficial by allowing companies to reach…

Read more

OTC Markets’ New Stock Promotion Policy

By | 03/30/2018 | 1:26 pm ET

On November 7th, the OTC Markets Group released a new stock promotion policy. This policy aims to improve the overall market transparency for investors, while addressing the issue of misleading, manipulative, or fraudulent stock promotion. Fraudulent Promotional Campaigns The wide use of digital media has allowed companies to interact and reach investors in a variety of new and different ways. While this can be beneficial by allowing companies to reach…

Read more