From Dodd-Frank in 2010 to the recently enacted JOBS Act, recent legislation has loosened regulations on smaller companies, making it easier for them to go public. Meanwhile, the SEC recently held a roundtable to study the impact that decimalization has had on small-cap stocks and the ability of small companies to access capital markets.
To help CFA Institute and regulators better understand the potential risk to investors and financial market trust, CFA Institute commissioned a report on the topic, Exchanges and Their Investors: A New Look at Reporting Issues, Fraud, and Other Problems by Exchange. It considers how frequently companies listed on venture exchanges have reporting problems, fraud, and other issues, when compared with companies listed on more established securities exchanges.
In a recently published issue brief, CFA Institute offers policy recommendations aimed at helping investors make informed decisions while also providing small to medium-sized enterprises (SMEs) with access to capital markets to fund their growth and development.
Photo credit: @iStockphoto.com/Nikada
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