October 3, 2014 –
Alibaba’s tech effect, Nasdaq’s new ‘all-inclusive’ fees, more (Securities Edge September recap)

Here is your recap of important topics we covered last month. Did you miss them? Sign up now to receive future blog posts by email as soon as each is published.

China rocks the tech world

Alibaba’s record IPO – How will it affect U.S. technology companies?

Sure enough, the Chinese e-commerce giant’s $25 billion initial public offering was the largest to date in the U.S. – far better for investors than Facebook’s IPO two years ago.

But what will its entry onto the U.S. marketplace mean for other tech stock, or the tech economy in general?

Bob White lays out four possible areas of impact. Read more >>

Is capital-raising better or worse?

The JOBS Act – Any results yet?

Initial optimism about the JOBS Act, signed into law in April 2012, has stalled as we are still waiting for final regulations from the SEC.

There are moves forward and back for crowdfunding, Regulation A+, emerging growth company IPOs … find out why Bob White gives the JOBS Act a C+ so far. Read more >>

A la carte fees going away

Nasdaq annual listing fees are going up, up (but not away)

Nasdaq’s annual listing fees are set to increase in the new year, but issuers who essentially sign up early for the new, all-inclusive annual fee get a small advantage, courtesy of the exchange. Read more >>

Compliance challenge

Despite First Amendment concerns, conflict minerals rule here to stay

The first Conflict Minerals Reports were due to the SEC on June 2, 2014 (reporting on the 2013 calendar year).

An analysis of the initial wave of filings is enlightening.

For example, it appears that many company owners/directors have not dug deeply enough to uncover potential sourcing problems in their supply chains. IBM and HP were among dozens of firms that identified gold sourced from North Korea, which is under sanctions. Read more >>

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