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Latest SEC News- SEC’s Division of Investment Management to Host Second Annual Conference on Emerging Trends in Asset Management April 17, 2024
- SEC Issues Second Fee Rate Advisory for Fiscal Year 2024 April 17, 2024
- SEC Charges Five Investment Advisers for Marketing Rule Violations April 12, 2024
- Register for the SEC’s 43rd Annual Small Business Forum April 16-18 April 4, 2024
- SEC Charges Advisory Firm Senvest Management with Recordkeeping and Other Failures April 3, 2024
Tag Archives: Regulation A
Small Business v. State Blue Sky Regulation – Sunny Days Ahead in 2015?
Groundhog Day is celebrated annually on February 2. As folklore goes, if it is cloudy when a groundhog emerges from its hole on this day, Spring will come early; if it is sunny, the groundhog will see its shadow and … Continue reading
Posted in Business Formation, Capital Raising, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments
Tagged blue sky regulation, candace klein, Crowdfunding Plus, CrowdfundingPlus, equity crowdfunding, JOBS Act, NASAA, Ohio Securities Commission, proposed SEC rules, Regulation A, samuel guzik, sec, SoMoLend
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On Regulation A+, CrowdfundingPlus and JOBS Act 2.0
For those of you who have been following the regulatory labyrinth that has followed in the heels of the JOBS Act, the perpetual questions du jour have been: What ever happened to Title III investment crowdfunding? What ever happened to Regulation … Continue reading
Posted in Capital Raising, Corporate Governance, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments
Tagged blue sky regulation, Crowdfunding, CrowdfundingPlus, equity crowdfunding, Guzik and Associates, JOBS Act, proposed sec crowdfunding regulations, Regulation A, Samuel S. Guzik, sec, SEC proposed rules
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Dawn of a New Era: SEC Chair White Speaks to Small Business
In a speech delivered on January 27 by SEC Chair Mary Jo White at the 41st Annual Securities Regulation Institute in Coronado, California, entitled: “The SEC in 2014,” it appears that Chair White has “gotten the memo” from her predecessors, and is … Continue reading
Posted in Business Formation, Capital Raising, Corporate Law, Crowdfunding, General, SEC Developments
Tagged california securities attorney, crowdfunding attorney, crowdfunding lawyer, Crowdfunding Plus, CrowdfundingPlus, equity crowdfunding, Guzik and Associates, JOBS Act, proposed rules, proposed sec crowdfunding rules, proposed SEC rules, Regulation A, samuel guzik, SEC crowdfunding regulations, small business, Title III, Title IV
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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
Posted in Capital Raising, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments, Uncategorized
Tagged accredited investors, california securities attorney, Crowdfunding, Crowdfunding Plus, CrowdfundingPlus, final SEC rules, Guzik and Associates, Harvard Law School Forum on Corporate Governance, JOBS Act, Los Angeles securities attorney, Los Angeles Securities Lawyer, proposed SEC rules, Regulation A, Regulation A Plus, samuel guzik, sec, securities attorney, The Crowdfunding Counselor, Title IV
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