Category Archives: Corporate Governance

Mark Your Calendars – Regulation A+ Goes Live on June 19, 2015

For those of you who have been following JOBS Act final rulemaking, Regulation A+, allowing companies to conduct an IPO up to $50 million at reduced initial and ongoing expense compared to a traditional IPO, today was another important milestone. … Continue reading

Posted in Business Formation, Capital Raising, Corporate Governance, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments | Comments Off on Mark Your Calendars – Regulation A+ Goes Live on June 19, 2015

Regulation A+ Interactive Webinar With Congressman David Schweikert, the Author of Regulation A+ – & Securities Attorney Samuel S. Guzik

For those of you interested in learning more about Regulation A+ from the Author of Title IV of the JOBS Act of 2012 (Regulation A+), please join Congressman David Schweikert and me in a live interactive Webinar being held on … Continue reading

Posted in Capital Raising, Corporate Governance, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments | Comments Off on Regulation A+ Interactive Webinar With Congressman David Schweikert, the Author of Regulation A+ – & Securities Attorney Samuel S. Guzik

Regulation A+: Q & A Primer With Securities Attorney Samuel S. Guzik

Following is intended to provide basic information about the new Regulation A+, adopted by the SEC on March 25, 2015, and which is expected to become effective in early June 2015. Please bear in mind that this information is general … Continue reading

Posted in Capital Raising, Corporate Governance, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments | 5 Comments

JOBS Act State of the Union: What’s Become of Regulation A+ and Crowdfunding?

To borrow a line from SEC Commissioner Daniel M. Gallagher, quoting from the fight song of his alma mater, Georgetown University:  Oh How Long It’s Been! As we approach the three year anniversary of the signing into law of the JOBS … Continue reading

Posted in Business Formation, Capital Raising, Corporate Governance, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments | Comments Off on JOBS Act State of the Union: What’s Become of Regulation A+ and Crowdfunding?

Investment Crowdfunding in 2015: A Much Needed Thaw in the Regulatory Gridlock*

[Author’s Note: The below article was cited as authority by Jonathan Ortmans, Senior Fellow, in an article appearing on The Kauffmann Foundation Blog on January 5, 2015 http://bit.ly/1zPGC7u] For many focused on opening up new avenues of capital formation for … Continue reading

Posted in Capital Raising, Corporate Governance, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments | Comments Off on Investment Crowdfunding in 2015: A Much Needed Thaw in the Regulatory Gridlock*

On the Misplaced Priorities of Dodd-Frank & the SEC: A Call for a “New Deal” in Washington for America’s Small Business

[Note – The picture above is Circa 1932, New York, NY: a Depression Era “Sweat Shop.” Pictured fifth from the right is the author’s Grandfather, Samuel Guzik] It could have been the kickoff of a grand political campaign – a … Continue reading

Posted in Business Formation, Capital Raising, Corporate Governance, Corporate Law, General, SEC Developments | Comments Off on On the Misplaced Priorities of Dodd-Frank & the SEC: A Call for a “New Deal” in Washington for America’s Small Business

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

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

Posted in Business Formation, Capital Raising, Corporate Governance, Corporate Law, Crowdfunding, General, SEC Developments | Comments Off on A Funny Thing Happened on the Way to the (2014 SEC Government Small Business) Forum

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

[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

Posted in Capital Raising, Corporate Governance, Corporate Law, Crowdfunding, General, SEC Developments | Comments Off on Growth Capital Summit Tackles JOBS Act & More on Eve of SEC Forum on Small Business Capital Formation

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

  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

Posted in Capital Raising, Corporate Governance, Corporate Law, Crowdfunding, General, SEC Developments | Comments Off on An Open Letter to SEC Chair White: It’s time to Lead the Crowd (funding)

Samuel S. Guzik Publishes Second JOBS Act Article in The Harvard Law School Forum in 2014

Today’s edition of The Harvard Law School Forum on Corporate Governance and Financial Regulation features an article written by me, entitled “SEC Crowdfunding Rulemaking under the JOBS Act – An Opportunity Lost?”  The article is an analysis of choices and … Continue reading

Posted in Capital Raising, Corporate Governance, Corporate Law, Crowdfunding, General, SEC Developments | Tagged , , , , , , , , | Comments Off on Samuel S. Guzik Publishes Second JOBS Act Article in The Harvard Law School Forum in 2014