Commission Names Sebastian Gomez Abero to Head Office of Small Business Policy in the Division of Corporation Finance
The Securities and Exchange Commission (Commission) today announced that it has named Sebastian Gomez Abero as chief of the Office of Small Business Policy. The appointment is effective immediately.
Mr. Gomez previously was a special counsel in the Office of Chief Counsel of the SEC's Division of Corporation Finance, where he played a key role in drafting proposed rules to implement the crowdfunding provisions of the Jumpstart Our Business Startups (JOBS) Act. He succeeds Gerald J. Laporte, who retired in July after heading the Office of Small Business Policy for more than a decade.
"I am very pleased that Sebastian Gomez will serve as the chief of the Office of Small Business Policy in our division," said Keith Higgins, Director of the Division of Corporation Finance. "This is an exciting time for the office as it promotes capital formation for small businesses while protecting investors. Sebastian's energy and leadership will serve us well as we further the Commission's mission."
The SEC's Office of Small Business Policy assists companies seeking to raise capital through exempt or smaller registered offerings, and participates in and reviews SEC rulemaking and other actions that may affect small businesses. The office coordinates the annual SEC Government-Business Forum on Small Business Capital Formation, provides support to the SEC Advisory Committee on Small and Emerging Companies, and acts as the division's liaison to the Small Business Administration and to state securities regulators on corporate finance issues.
"I am honored and excited for the opportunity to lead our Office of Small Business Policy. I look forward to working with the dedicated and talented professionals in the office as we further the Commission's policies that impact small businesses and their investors," Mr. Gomez said.
Mr. Gomez joined the SEC in August 2007 as a staff attorney in the division's Office of Health Care and Insurance and served as a special counsel in the division's Office of Financial Services from April 2011 to April 2012. He also assisted with the SEC's Life Settlements Task Force and with a team that provided technical assistance on derivatives as Congress drafted the Dodd-Frank Wall Street Reform and Consumer Protection Act.
Before coming to the SEC, Mr. Gomez was an attorney at the law firm of Hogan & Hartson LLP. He holds a B.S. in computer science from Bridgewater College and received his law degree from Northwestern University Law School. (Press Rel. 2013-257)
Immediate Effectiveness of Proposed Rule Change
A proposed rule change filed by The NASDAQ Stock Market LLC relating to NOM penny and non-penny pilot options (SR-NASDAQ-2013-149) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of December 9th. (Rel. 34-71028)
Notice of Proposed Rule Change
Financial Industry Regulatory Authority, Inc. filed a proposed rule change (File No. SR-FINRA-2013-051) under Section 19(b)(1) of the Exchange Act to amend the Uniform Branch Office Registration Form (Form BR). Publication is expected in the Federal Register during the week of December 9th. (Rel. 34-71027)
Approval of a Proposed Rule Change
The Commission has approved a proposed rule change (SR-NYSE-2013-67) filed by the New York Stock Exchange LLC under Rule 19b-4 of the Exchange Act to amend the quantitative continued listing standards applicable to companies listed under sections 102.01C and 103.01B of the Listed Company Manual. Publication is expected in the Federal Register during the week of December 9th. (Rel. 34-71029)
The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.
Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
S-8 MICROSEMI CORP, ONE ENTERPRISE, ALISO VIEJO, CA, 92656, 949-380-6100 - 582,533 ($11,714,738.63) Equity, (File 333-192678 - Dec. 6) (BR. 10B) F-1 LUMENIS LTD, PO BOX 240, YOKNEAM ISRAEL 20692, L5, 00000, 9729599000 - 0 ($115,000,000.00) Equity, (File 333-192679 - Dec. 6) (BR. 10B) F-1 Constellium N.V., TUPOLEVLAAN 41-61, SCHIPHOL-RIJK, P7, 1119NW, 31-20-654-97-80 - 0 ($205,195,832.80) Equity, (File 333-192680 - Dec. 6) (BR. 06C) S-3 AVIV REIT, INC., 303 W. MADISON ST., SUITE 2400, CHICAGO, IL, 60606, 312-855-0930 - 0 ($133,430,101.00) Equity, 0 ($1,000,000,000.00) Unallocated (Universal) Shelf, (File 333-192681 - Dec. 6) (BR. 08B) S-3ASR Duke Energy CORP, 550 SOUTH TRYON STREET, DEC45, CHARLOTTE, NC, 28202, 704-382-3853 - 0 ($500,000,000.00) Debt, (File 333-192685 - Dec. 6) (BR. 02C) S-3ASR WALT DISNEY CO/, 500 SOUTH BUENA VISTA ST, BURBANK, CA, 91521, 8185601000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-192690 - Dec. 6) (BR. 05B) S-1 PERKO WORLDWIDE CORP, 2650 SW 18TH STREET, FORT LAUDERDALE, FL, 33312, (754) 245-7260 - 85,000,000 ($75,100,000.00) Equity, (File 333-192692 - Dec. 6) (BR. ) S-8 KID BRANDS, INC, ONE MEADOWLANDS PLAZA, 8TH FLOOR, EAST RUTHERFORD, NJ, 07073, 2014052400 - 0 ($2,803,000.00) Equity, (File 333-192693 - Dec. 6) (BR. 06A) S-4 SINCLAIR BROADCAST GROUP INC, 10706 BEAVER DAM ROAD, HUNT VALLEY, MD, 21030, 4105681500 - 0 ($350,000,000.00) Debt, (File 333-192695 - Dec. 6) (BR. 11C) S-3 ADVANCED CELL TECHNOLOGY, INC., 33 LOCKE DRIVE, MARLBOROUGH, MA, 01752, 508-756-1212 - 250,000,000 ($15,000,000.00) Equity, (File 333-192696 - Dec. 6) (BR. 01B) S-3 VITESSE SEMICONDUCTOR CORP, 741 CALLE PLANO, CAMARILLO, CA, 93012, 8053883700 - 0 ($75,000,000.00) Other, (File 333-192697 - Dec. 6) (BR. 10B) S-3 Ocera Therapeutics, Inc., 12651 HIGH BLUFF DRIVE, SUITE 230, SAN DIEGO, CA, 92130, 858-436-3900 - 0 ($47,385,222.00) Equity, (File 333-192698 - Dec. 6) (BR. 01B) S-8 Corporate Resource Services, Inc., 160 BROADWAY, 13TH FLOOR, NEW YORK, NY, 10038, 646-443-2380 - 0 ($7,620,000.00) Equity, (File 333-192699 - Dec. 6) (BR. 11A) S-1 Sugar Creek Financial Corp./MD/, 28 WEST BROADWAY, TRENTON, IL, 62293, 618 224 9228 - 0 ($8,798,111.00) Equity, (File 333-192700 - Dec. 6) (BR. ) S-8 SEMTECH CORP, 200 FLYNN ROAD, CAMARILLO, CA, 93012-8790, 8054982111 - 0 ($436,812,855.00) Equity, (File 333-192703 - Dec. 6) (BR. 10B) S-3 LADENBURG THALMANN FINANCIAL SERVICES INC, 4400 BISCAYNE BLVD., 12TH FLOOR, MIAMI, FL, 33137, 212-409-2000 - 400,000,000 ($400,000,000.00) Equity, (File 333-192712 - Dec. 6) (BR. 08B) S-8 SPARTAN STORES INC, 850 76TH ST SW, P O BOX 8700, GRAND RAPIDS, MI, 49518, 6168782000 - 0 ($13,785,838.00) Equity, (File 333-192713 - Dec. 6) (BR. 02B) S-4 HARBINGER GROUP INC., 450 PARK AVENUE, 30TH FLOOR, NEW YORK, NY, 10022, 212-906-8548 - 0 ($925,000,000.00) Debt, (File 333-192714 - Dec. 6) (BR. 10A) S-1 STONEGATE MORTGAGE CORP, 9190 PRIORITY WAY WEST DRIVE, SUITE 300, INDIANAPOLIS, IN, 46240, 317-663-5100 - 6,388,889 ($107,141,668.53) Equity, (File 333-192715 - Dec. 6) (BR. 07) S-8 SCIENTIFIC GAMES CORP, 750 LEXINGTON AVE, NEW YORK, NY, 10022, 3027374300 - 0 ($5,313,000.00) Equity, (File 333-192716 - Dec. 6) (BR. 03B)
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