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A Better Partnership

Publications

Mar 2014
01
March 01, 2014

United States House of Representatives Committee on Financial Services: Hearing Entitled “Reducing Barriers to Capital Formation”


This written statement explains why today’s “one size fits all” system of regulating securities broker-dealers adversely impacts and unnecessarily increases costs that business owners incur to sell, buy or grow their small and mid-sized businesses. This legislation represents over six years’ worth of effort to cooperate with the Securities and Exchange Commission staff through is Division of Trading and Markets, and with state securities regulators through the North American Securities Association (NASAA) to craft a regulatory solution. To read the full statement click here.

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