Working link: http://www.sec.gov/news/otherwebcas
Post# of 45510
Working link:
http://www.sec.gov/news/otherwebcasts/2011/mi...1711.shtml
SEC Roundtable on the Execution, Clearance and Settlement of Microcap Securities
October 17, 2011
The Securities and Exchange Commission today announced the panelists and final agenda for a public roundtable on microcap securities to be held next week. The October 17 roundtable, announced last month , is being sponsored by the SEC’s Microcap Fraud Working Group and will feature three panels discussing key regulatory issues, including anti-money laundering monitoring, compliance challenges, and potential changes to the microcap regulatory framework.
http://www.sec.gov/spotlight/microcap/microca...script.txt
Transcript
Monday, October 17, 2011
1:00 p.m.
Other transcripts available.
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First day:
“I don’t understand why the long side of the market has such stringent regulations while the short side of the market is the wild, wild west.” Gesturing to the industry insiders on the panel, he added, “Why does this go on? Because these guys make a lot of money doing this.”
- Dennis Nixon, Chairman of International Bancshares Corporation
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