Encouraging Small Business Growth and Access to Capital: Hearing Before the Subcommittee on Oversight and Investigations of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eighth Congress, Second Session, September 23, 2004 |
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access capital access to capital accredited investors Allied Capital audit BDCs BELLER Blue Rhino Business Capital Formation business development companies capital markets CEO Council Chairman KELLY Commission's community banks Congress Connolly Corporation Finance costs created Division of Corporation economy efforts eligible portfolio companies Exchange Commission exemption facilitate capital formation federal filing financial services hearing impact internal control Internet investor protection issues legislation loans Madam Chairwoman market capitalization marketplace microcap million mission NASD Nasdaq needs of small offerings Oswego Oversight and Investigations Pathfinder Bank penny stock Pink Sheet protect investors provide capital question recommendations registration Regulation SHO regulations regulatory requirements rulemaking Sarbanes-Oxley Act Schneider SEC's Securities and Exchange securities laws September 23 short selling Small Business Administration Small Business Capital small business issuers small companies small public companies smaller statement Subcommittee on Oversight Sue Kelly Sweeney testimony Thank tion transparency year's Forum York
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Page 58 - House of Representatives, Subcommittee on Oversight and Investigation of the Committee on Interstate and Foreign Commerce, Federal Regulation and Regulatory Reform, 1976.
Page 32 - PREPARED STATEMENT OF ALAN L. BELLER DIRECTOR, DIVISION OF CORPORATION FINANCE US SECURITIES AND EXCHANGE COMMISSION FEBRUARY 10, 2004 Introduction I am pleased to have this opportunity to testify before you on behalf of the Securities and Exchange Commission regarding the application of disclosure and reporting requirements of the Federal securities laws to Fannie Mae, Freddie Mac, and the Federal Home Loan Banks.
Page 32 - US Securities and Exchange Commission 450 Fifth Street, NW Washington, DC 20549 TESTIMONY OF RICHARD C.
Page 33 - The mission of the US Securities and Exchange Commission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation.
Page 32 - Subcommittee on Oversight and Investigations Committee on Financial Services US House of Representatives July 12, 2006 "Diversity: The GAO Perspective" US House Committee on Financial Services Chairman Michael G.
Page 45 - Assessment designed to better enable the Commission to anticipate, identify, and manage emerging risks and market trends that stand to threaten the Commission's ability to fulfill its mission. This...
Page 27 - ... let somebody who hates me tell me to love him. I'm not that way-out. And you, young as you are, and because you start thinking, you're not going to do it either. The only time you're going to get in that bag is if somebody puts you there. Somebody else, who doesn't have your welfare at heart. . . . I want to thank all of you for taking the time to come to Harlem and especially here. I hope that you've gotten a better understanding about me. I put it to you just as plain as I know how to put it;...
Page 34 - ... as liaison with Congressional committees, government agencies and other groups concerned with small business.
Page 36 - ... internal control over financial reporting under Section 404 of the Sarbanes-Oxley Act of 2002.
Page 40 - ... made to • < compensate employees by companies meeting certain requirements. The company can sell at least $1 million of securities under this exemption and can sell more securities if it satisfies certain formulas that are based on its assets or on the number of its outstanding securities. If the company sells more than $5 million in securities in a 12-month period, it must provide limited disclosure documents to its employees. Like the securities in rules 505 and 506, under rule 701, employees...