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Latest SEC News- Tai Mo Shan to Pay $123 Million for Negligently Misleading Investors About Stability of Terra USD December 20, 2024
- SEC Adopts Rule Amendments to the Broker-Dealer Customer Protection Rule December 20, 2024
- SEC Files Settled Charges Against Multiple Entities for Failing to Timely File Forms D in Connection With Securities Offerings December 20, 2024
- SEC Charges Silver Point Capital with Policy Failures Regarding Receipt of Material Nonpublic Information About Bonds Issued by Puerto Rico December 20, 2024
- Deutsche Bank Subsidiary to Pay $4 Million for Untimely Filing Certain Suspicious Activity Reports December 20, 2024
Monthly Archives: December 2016
SEC Office of Small Business Advocate – One of Top 10 Fintech News Events in 2016
I am proud to be a part of one of the Top 10 Fintech News Events of 2016 – HR 3784 – SEC Office of Small Business Advocate: Top Fintech Stories from Crowdfund Insider during 2016 December 30, 2016 @ … Continue reading
Posted in Capital Raising, Corporate Governance, Corporate Law, Crowdfunding, General, SEC Developments
Tagged Crowdfund Inside, Fintech, HR 3784, News, samuel guzik, sec, Small Business Advocate
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Why I am “High” on the Prospects for SME’s in 2017
The beginning of a new year is typically accompanied by renewed hope and positive expectations. 2017 is no exception. As a staunch advocate of promoting the interests of small business generally, and smart regulation of capital formation, in particular, 2017 … Continue reading
Posted in Capital Raising, Corporate Governance, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments
Tagged cannabis stocks, Crowdfunding, crowdunding, Donald Trump, fix crowdfunding act, HR 3784, JOBS Act, Med-X, Paul Atkins, Regulation A, Regulation A+ attorney, Regulation A+ lawyer. Samuel Guzik, sec, SEC Small Business Advocate
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SEC Issues Regulation A+ White Paper – What’s Working?
There has been a great deal of hyperbole and misinformation surrounding the use of the new SEC Regulation A+, which allows a private U.S. company to issue freely tradeable shares to the general public. A new White Paper recently released … Continue reading
Posted in Capital Raising, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments
Tagged Regulatiion A Attorney, Regulation A, Regulation A Lawyer, Regulation A Plus, Sam Guzik, samuel guzik, sec, White Paper
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HR 3784 – SEC Office of Small Business Advocate – Is Now the Law of the Land
On December 16, 2016, President Barack Obama Signed into Law HR 3784 – SEC Office of Small Business Advocate, creating an independent Office of Small Business Advocate at the SEC, reporting directly to the full Commission and Congress. This legislation … Continue reading
Posted in Capital Raising, Corporate Governance, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments
Tagged HR 3784, samuel guzik, SEC attorney, SEC Small Business Advocate
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Congress Passes H.R. 3784 SEC Office of Small Business Advocate Bill
[Author’s Note: HR 3784 was signed into law by President Barack Obama on December 16, 2016. For an update on this historic legislation, see my most recent article appearing on this Blog.] Most of us were probably sleeping last night … Continue reading
Posted in Corporate Law, Crowdfunding, General, SEC Developments
Tagged HR 3784, samuel guzik, sec, Small Business Advocate
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