Tag Archives: final SEC rules

Open Letter to the SEC: Please Don’t Hang Up on Small Business (And Please Don’t Put Small Business on Hold)

Some of you who read my July 2014 article entitled “Intrastate Crowdfunding at Risk -Has Intrastate Crowdfunding in Washington State Been Washed Out by NASAA and the SEC?” may have concluded that I was making a mountain out of a … Continue reading

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The Misplaced Logic of Dodd-Frank: Protecting the Ordinary Investor by Redefining the Accredited Investor

Many of you are still reeling from the impact of the worldwide collapse of the financial markets in 2008. And most of us have rightfully observed that following one of the greatest debacles in financial history, no one has gone … Continue reading

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Regulation A+ Offerings—A New Era at the SEC

[ORIGINALLY PUBLISHED IN THE HARVARD LAW SCHOOL FORUM ON CORPORATE GOVERNANCE AND FINANCIAL REGULATION ON JANUARY 15 2014] December 18, 2013 may well mark an historic turning point in the ability of small business to effectively access capital in the private … Continue reading

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Regulation (C)rowdfunding Day – The Morning After

 [Following is a reprint of an article written by me for my Legal Column,  The Crowdfunding Counselor™, on CrowdfundInsider, published on October 24, 2013] First in a Series of Articles Focusing on the Road Ahead to Final Rules and Beyond … Continue reading

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Securities Attorney Samuel Guzik Announces Regular Legal Column for Crowdfund Insider – The Crowdfunding Counselor™

As previously reported on CrowdfundInsider.com, I will be authoring a column on its behalf, The Crowdfunding Counselor™, dedicated to discussing legal issues of importance to those committed to advancing capital formation for small businesses and startups alike flowing from the … Continue reading

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SEC Extends Comment Period for JOBS Act Rule 506 Proposed Rulemaking – Is the SEC About to Pivot?

September 23, 2013 kicked off an historic period in federal securities laws.  For the first time in 80 years companies would be allowed to publicly solicit investors in unregistered private placements so long as all of the investors were accredited.  … Continue reading

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IT’S THE JOBS ACT, STUPID!

Still Time to Comment on SEC’s Proposed Regulation D General Solicitation Rules? On July 10, 2013, the SEC issued its final rules allowing general solicitation and advertising in unregistered private placements, provided all of the investors were accredited, effective September … Continue reading

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Preparing for (Regulation) D-Day – September 23, 2013

“The better part of valor is discretion, in the which better part I have sav’d my life.” Henry the Fourth, William Shakespeare, Part I, Act 5, scene 4. *          *          *          *          * As featured in CrowdfundInsider on September 17, … Continue reading

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Equity Crowdfunding and The Road Not Taken – What Congress Could Learn From Kansas

It’s pretty easy to make a case against equity crowdfunding: Startups are risky investments – most will fail, and investors will lose their money. Crowdfunding will be a magnet for fraud, drawing phony and exaggerated investment schemes. The goal of … Continue reading

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Equity Crowdfunding – The Road Ahead at the SEC and Beyond

Equity crowdfunding, hoped by many to be a promising new vehicle for capital formation for startups and other early stage companies, has yet to become operational under the JOBS Act – waiting on the SEC to promulgate proposed and final … Continue reading

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