美国证券交易委员会（SEC）昨日发布有关于小型企业资本咨询委员会会议（简称“委员会”）的议程，该议程于2020年11月9日星期一通过视频会议进行讨论。

SEC将共同讨论欧盟委员会最近所讨论的提议，该提议旨在为“发现者”建立有限制性条件地免除券商注册要求，这些“发现者”可协助公司向合格投资者筹集一级市场资金。会议期间，委员会还将继续讨论小型企业如何应对COVID-19流行病，并分享他们在各自市场领域的看法。

支持委员会的SEC小企业资本倡导办公室发布了关于拟议的发现者免除令的科普信息，包括宣传视频和图表，说明一级和二级拟议发现者的主要许可活动。

成立该委员会的目的是向SEC提供与新兴私人公司到小型上市公司等小型企业有关的法律法规和政策建议。委员会最近向SEC汇报许多相关的法规制定和重大政策，为监管过程提供有价值的市场反馈。

The Securities and Exchange Commission today released the agenda for the Monday, Nov. 9, 2020, meeting of its Small Business Capital Formation Advisory Committee, which will be hosted via video conference.

The Committee will discuss the Commission’s recent proposal to create a limited, conditional exemption from broker registration requirements for “finders” who assist companies with raising capital in private markets from accredited investors. During the meeting, the Committee will also continue its discussions on how small businesses are coping with the COVID-19 pandemic and share observations from their areas of the marketplace.

The SEC’s Office of the Advocate for Small Business Capital Formation, which supports the Committee, released educational resources on the proposed exemptive order for finders, including an overview video and a chart that illustrates key permissive activities of the proposed Tier I and Tier II Finders.

The Committee was established to provide the Commission with advice and recommendations on Commission rules, regulations, and policy matters relating to small businesses, from privately-held emerging companies to smaller public companies. The Committee has recently informed the Commission on a number of pertinent rulemaking and policy priorities, providing valued marketplace feedback into the regulatory process. 

(Source: www.sec.gov)

每天获取干货知识，请查找微信公众号"宏业上市通"关注，也可以扫下方二维码关注，您的关注是我们持续前行动力！

宏业金融集团

中国企业境外上市专业服务平台

宏业金融集团是一家国际金融咨询服务企业。在国内主营企业财务咨询、融资辅导、企业孵化、境外上市辅导服务等企业金融服务业务，在深圳、香港、马来西亚、美国设有办事处。宏业金融集团依托专业的咨询团队、丰富的辅导经验、广泛的社会关系、国际化的合作资源，通过一体化专业服务，为中国企业提供上市辅导服务。 是一家中国企业境外上市专业服务平台。

地址：深圳市罗湖区京基一百大厦A座4805

电话：86-0755-82334963

Add：Rm. 4805, Blk. A, Kingkey 100, Luohu Dist.,  Shenzhen, Guangdong Prov., China

Tel：86-0755-82334963

Web : www.hongyeconsulting.com