Access to Capital

Recommendation
Policy Responsibility
Congress
Regulator
Status
Relevant
Deadlines
  • Public Companies and IPOs
  • 1.
    Partial Dodd-Frank repeal
    Congress
    SEC
    D, F
    Proposed
    [ more ... ]
    2.
    Regulation S-K amendment
     
    SEC
    F
    Proposed
    [ more ... ]
    3.
    SEC disclosure requirements
     
    SEC
    F
    Proposed
    [ more ... ]
    4.
    Testing the waters
     
    SEC
    A, D, F
    Proposed
    [ more ... ]
    5.
    Proxy advisory firms
     
    SEC
    A, C, F
    Proposed
    [ more ... ]
    6.
    Shareholder proposal holding requirement
     
    SEC
    D, F, G
    Proposed
    [ more ... ]
    7.
    Resubmission thresholds for repeat shareholder proposals
     
    SEC
    D, F, G
    Proposed
    [ more ... ]
    8.
    Lower costs of securities litigation
     
    SEC, States
    F
    Proposed
    [ more ... ]
    9.
    SEC review of offering document disclosure of dual class stock
     
    SEC
    A, D, F, G
    Proposed
    [ more ... ]
    10.
    BDCs to use same provisions as other issuers for Forms 10-K, 10-Q, and 8-K
     
    SEC
    A, D, F, G
    Proposed
    [ more ... ]
  • Disproportionate Challenges for Smaller Public Companies
  • 11.
    SRC and non-accelerated filer eligibility
     
    SEC
    A, F, G
    Proposed
    [ more ... ]
    12.
    EGC extension
     
    SEC
    A, F, G
    Proposed
    [ more ... ]
    13.
    Review of interval fund rules
     
    SEC
    A, F, G
    Proposed
    [ more ... ]
    14.
    Review of Global Settlement between securities regulators and 12 major broker-dealers
     
    FINRA, SEC
    A, C, F, G
    Proposed
    [ more ... ]
  • Expanding Access to Capital Through Innovative Tools
  • 15.
    Expanding Reg A
     
    SEC
    A, F, G
    Proposed
    [ more ... ]
    16.
    Liquitidity of Tier 2 Securities
     
    SEC, States
    A, F, G
    Proposed
    [ more ... ]
    17.
    Tier 2 offering limit
     
    SEC
    A, F, G
    Proposed
    [ more ... ]
    18.
    Crowdfunding vehicles
     
    SEC
    A, F, G
    Proposed
    [ more ... ]
    19.
    Crowdfunding for accredited investors
     
    SEC
    A, F, G
    Proposed
    [ more ... ]
    20.
    Crowdfunding investment limits
     
    SEC
    A, F, G
    Proposed
    [ more ... ]
    21.
    Section 12(g) condition exemption modification
     
    SEC
    F, G
    Proposed
    [ more ... ]
    22.
    Increase in annual limit on crowdfunding capital raises
     
    SEC
    A, F, G
    Proposed
    [ more ... ]
  • Maintaining the Efficacy of the Private Markets
  • 23.
    New structure for finders and other intermediaries
     
    FINRA, SEC, States
    A, F, G
    Proposed
    [ more ... ]
    24.
    Expanding pool of accredited investors
     
    SEC
    A, F, G
    Proposed
    [ more ... ]
    25.
    Restrictions on unaccredited investors
     
    SEC
    A, F, G
    Proposed
    [ more ... ]
    26.
    Reporting of disciplinary proceedings or criminal convictions
     
    CFTC, FINRA, SEC, States
    A, G
    Proposed
    [ more ... ]