Securities Law Prof Blog

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

Friday, October 7, 2011

SEC Schedules Roundtable on Microcap Securities

The SEC will hold a public roundtable meeting on October 17, 2011 on issues related to the Execution, Clearance and Settlement of Microcap Securities.   Panelists will consider a range of microcap securities topics, such as the current issues facing small cap issuers in the clearance and settlement process, potential regulatory changes impacting the Over-The-Counter markets, and Anti-Money Laundering concerns specific to microcap issuers.

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