Monthly Archives: November 2014

On SEC Proposed Regulation A+: Has Commissioner Stein Succumbed to the NASAA Kool-Aid?

Posted on November 29, 2014 by Samuel Guzik

Though SEC Commissioners Daniel M. Gallagher and Kara Stein may have travelled on the same plane on the way to the Los Angeles County Bar Association Annual Securities Regulation Conference to address a room of securities industry professionals on October … Continue reading →

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2014 SEC Government – Small Business Forum: A Tale of Two Gatherings

Posted on November 29, 2014 by Samuel Guzik

For those of you who have been reading my articles over the past four months, I have tried to create heightened awareness of a perennial SEC event, the SEC Government-Small Business Forum, an annual event borne out of bi-partisan legislation … Continue reading →

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Is the SEC Helping or Hurting Intrastate Crowdfunding?

Posted on November 23, 2014 by Samuel Guzik

I have written a great deal since May 2014 as to my concerns over recent SEC interpretations regarding the use of the Internet and social media in intrastate crowdfunded offerings relying on SEC Rule 147 – an exemption from federal … Continue reading →

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A Funny Thing Happened on the Way to the (2014 SEC Government Small Business) Forum

Posted on November 11, 2014 by Samuel Guzik

As one who has represented small and emerging growth companies over the past 36 years in navigating access to the capital markets, I have closely followed the legislative and regulatory developments in Washington, D.C. since the enactment of the Jumpstart … Continue reading →

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Small Business SEC Regulatory Reform in Washington, D.C. – “All in on Red” on Election Day 2014

Posted on November 4, 2014 by Samuel Guzik

  The place was Washington, D.C.  The occasion was the Annual Meeting of the Angel Capital Association at the Hilton Hotel in March 2014.  Hundreds of attendees were gathered for lunch in the main Ballroom, the largest in the City. … Continue reading →

Posted in Capital Raising, Corporate Law, Crowdfunding, General, SEC Developments | 1 Comment

Growth Capital Summit Tackles JOBS Act & More on Eve of SEC Forum on Small Business Capital Formation

Posted on November 3, 2014 by Samuel Guzik

[Reprinted from November 3, 2014 Edition of CrowdfundInsider] November 3, 2014 @ 3:28 pm By JD Alois November is a big month in Washington, DC.  Not only is it the mid-term election season that happens to have a bit of … Continue reading →

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An Open Letter to SEC Chair White: It’s time to Lead the Crowd (funding)

Posted on November 2, 2014 by Samuel Guzik

  The place: Washington, D.C. – the occasion: the swearing in of a new federal agency head – one charged in part with regulating the flow of capital to small businesses.  President Obama and others listened with a hopeful ear. … Continue reading →

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SEC Annual Forum on Small Business Capital Formation: Ground Hog Day for Small Biz?

Posted on November 1, 2014 by Samuel Guzik

Many of us are wondering when, if and how the SEC will finally roll out final regulations to implement major provisions of the JOBS Act of 2012, including Title III (investment crowdfunding) and Title IV (Regulation A+). So too were … Continue reading →

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