Securities Law Prof Blog

Editor: Eric C. Chaffee
Univ. of Toledo College of Law

Monday, September 19, 2011

SEC Announces Roundtable on Microcap Securities

The SEC announced that it will host a public roundtable on Oct. 17 to discuss "the unique regulatory issues" surrounding the execution, clearance, and settlement of microcap securities.  It will feature in-depth discussions of key regulatory issues including Anti-Money Laundering monitoring, compliance challenges, and potential changes to the regulatory framework. Panelists will include representatives from The Deposit Trust Company, broker-dealers, the Financial Industry Regulatory Authority and others.

The roundtable is being sponsored by the SEC’s Microcap Fraud Working Group, a joint initiative of the Division of Enforcement and Office of Compliance Inspections and Examinations.

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