Category Archives: SEC Developments

IS THE SEC’S ACCREDITED INVESTOR DEFINITION UNCONSTITUTIONAL?

Many have railed against what can be argued is the irrationality of protecting non-accredited investors from themselves, i.e. the accredited investor definition.   The definition was crafted by the SEC back in the early 1980’s as the centerpiece of what has … Continue reading

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SEC Quietly Injects Life Into Title III Crowdfunding Solicitation!

[As published on June 27, 2016 in Crowdfund Insider] When it comes to capital formation for SME’s through federal legislation, one can usually count on the North American Securities Administrators Association (NASAA) to do their best to block or narrow … Continue reading

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An A+ Day for SEC Regulation A+ – A Victory in Court for Small Business!

Today was an important day for small and emerging companies. On this day the US Court of Appeals for the DC Circuit dismissed the challenge by NASAA and others to set aside the SEC’s rulemaking under Title IV of the … Continue reading

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JOBS Act Crowdfunding Begins on May 16, 2016: Don’t Get Busted for Solicitation!

    It’s been five months or so since the SEC published its long awaited investment crowdfunding rules.  Though Congress dictated that this task be completed by the end of 2012, the SEC missed the mark by nearly three years.  … Continue reading

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JOBS Act Title III Crowdfunding – A Trap for the Unwary?

A few weeks ago I wrote an article discussing one of the potential pitfalls – and weaknesses – in the SEC’s new Regulation CF, which became effective May 16, 2016, which allows private companies to raise up to $1 million … 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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Forbes.com Regulation A+ Interview of Sam Guzik Ranks in YouTube 2015 Top Five Interviews

2015 was a busy year for me, with SEC final rulemaking completed for Regulation A+ and JOBS Act Title III crowdfunding. In addition to more than a dozen speaking engagements around the country I had the opportunity to participate in … Continue reading

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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

Posted in Capital Raising, Corporate Governance, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments | 7 Comments

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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Regulation A+ CBS Podcast with Jay Abraham and Sam Guzik

Friday, June 19, 2015, is an historic day for both small business and federal securities regulation.  For the first time in over a century private early stage and more mature companies alike will be able to offer their securities to … Continue reading

Posted in Capital Raising, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments, Uncategorized | 1 Comment