Category Archives: Corporate Governance

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

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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

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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

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House of Representatives to SEC: Time to Lift Our Entrepreneurs Off the Floor!

Originally Published on Crowdfund Insider on February 1, 2016 – And as Tweeted by Mark Cuban to his 4.5 Million Twitter Followers on February 2 ] February 1, 2016 @ 9:30 pm By Samuel Guzik For those of you who … Continue reading

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Small Business in Washington, DC: Could Santa be Coming to Town this Year?

  December 2, 2015, seemed no different than any other day in Washington, D.C. With a light rain falling, it was a rather dismal day for sightseeing in our Nation’s Capitol – yet the sun seemed to be shining for … Continue reading

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Crowdfunding Counselor Sam Guzik, A Voice Galvanizing & Advocating for the Crowd

  [The following interview of Samuel S. Guzik appeared in Crowdfund Insider on December 1, 2015] December 1, 2015 @ 8:00 am By Erin Hobey “I do not recycle or repackage the ideas of others.  I try to focus instead … Continue reading

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Final Title III SEC Crowdfunding Rules – Done (almost)!!! Next Act: The Missing Title VIII (a/k/a H.R. 3784)

[As published on October 28, 2015 in Crowdfund Insider] I will not be discouraged by failure; I will not be elated by success.” Joseph B. Lightfoot The bigger than life headline yesterday? The long-awaited news that the SEC’s five Commissioners … Continue reading

Posted in Business Formation, Capital Raising, Corporate Governance, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center | 2 Comments

SEC Staff Provides Early Guidance on Use of Regulation A+

  [As published on June 24, 2015 on CrowdfundInsider.com] On June 23, 2015, the Staff of the Securities and Exchange Commission provided some public guidance on certain issues arising under the new Regulation A+ Final Rules. In a new section … Continue reading

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Regulation A+ Packs a “Punch” – So too Congress and Title III Crowdfunding

Regulation A+ Day 1: A Look Past the Mainstream Media Headlines And Regulation A+’s Forgotten Crowdfunding Cousin Quietly Comes to Life in Congress! [Reprinted with permission from CrowdfundInsider, June 22, 2015] Some History Lessons Though some may quibble over the … Continue reading

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The State of Massachusetts vs. Regulation A+ — State Regulators Take the SEC to Court

 As you undoubtedly have heard, or will hear, the Commonwealth of Massachusetts via via its Secretary of State, William Galvin, filed a lawsuit against the SEC on Friday to block the implementation of SEC Final Rules implementing Regulation A+.  . Though … Continue reading

Posted in Business Formation, Capital Raising, Corporate Governance, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments | 2 Comments