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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
Daily Archives: July 30, 2018
Fixing the JOBS Act Beyond JOBS Act 3.0: Follow the Money
[Originally Published in Crowdfund Insider on July 25, 2018] Often repeated, but not always followed, is the advice: follow the money. Sometimes basic problems – and their solutions – are more readily understood (and solved) with this simple mantra. Effective … Continue reading
Posted in Capital Raising, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments
Tagged Crowdfunding, crowdfunding attorney, crowdfunding lawyer, JOBS Act, Regulation A Lawyer, Regulation A+ attorney, samuel guzik, sec
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SEC Regulation A+, ICOs and Small Business Capital Formation: For Whom the Bells Toll?
If the Wall Street Journal is any indicator, so called Regulation A+ offerings, which sprung to life in June 2015, courtesy of Title IV of the Jumpstart Our Business Startups Act of 2012 (the JOBS Act) and SEC rulemaking, are (or … Continue reading
Posted in Capital Raising, Corporate Governance, General, Regulation A+ Resource Center, SEC Developments
Tagged Crowdfunding, crowdfunding attorney
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The SEC and Regulated ICOs: Be Careful What You Wish For
[Originally Published in Crowdfund Insider on November 12, 2017] Man Proposes and God Disposes On November 8, at an Annual New York City gathering of securities professionals, SEC Chair Jay Clayton went off script – and in doing so provided what … Continue reading
Posted in Capital Raising, Corporate Governance, Corporate Law, General, SEC Developments, Security Tokens/ICOs
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The SEC, the ICO and Avoiding the ICU: A Call for Leadership and Action
[Originally Published in Crowdfund Insider on November 6, 2017] As a securities lawyer and a sometimes advocate for smart regulation of capital formation, I must confess: When it comes to addressing the current state of the Initial Coin Offering … Continue reading
Posted in Capital Raising, Corporate Governance, Crowdfunding, General, SEC Developments, Security Tokens/ICOs
Tagged Crowdfunding, crowdfunding attorney, crowdfunding lawyer, ICO, Initial Coin Offering, JOBS Act, Regulation A Lawyer, Regulation A+ attorney, samuel guzik, sec
Comments Off on The SEC, the ICO and Avoiding the ICU: A Call for Leadership and Action