Tag Archives: sec

Securities Attorney Samuel Guzik in the News – CFO.com

What’s Wrong with Crowdfunding? The JOBS Act was designed to help online capital formation. So far, the results have been disappointing. Vincent Ryan February 6, 2017 | CFO Magazine Raising $5 million, $10 million, even $50 million online seems irresistibly … Continue reading

Posted in Capital Raising, Crowdfunding, General, Regulation A+ Resource Center | Tagged , , , , , , , | Comments Off on Securities Attorney Samuel Guzik in the News – CFO.com

The JOBS Act Turns Five, Regulation A+ Turns Two, Regulation Crowdfunding Turns One: What Should Be Next on the SEC Chair Jay Clayton’s Agenda

With the Jumpstart Our Business Startups (JOBS) Act having just reached its five year milestone, Regulation Crowdfunding hitting its one year milestone, and the two year anniversary of Regulation A(+) fast approaching, I thought this would be a good time … Continue reading

Posted in Capital Raising, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments | Tagged , , , , , , , , , , , | Comments Off on The JOBS Act Turns Five, Regulation A+ Turns Two, Regulation Crowdfunding Turns One: What Should Be Next on the SEC Chair Jay Clayton’s Agenda

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

Posted in Capital Raising, Corporate Governance, Corporate Law, Crowdfunding, General, SEC Developments | Tagged , , , , , , | Comments Off on SEC Office of Small Business Advocate – One of Top 10 Fintech News Events in 2016

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

Posted in Capital Raising, Corporate Governance, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments | Tagged , , , , , , , , , , , , , | Comments Off on Why I am “High” on the Prospects for SME’s in 2017

SEC Issues Regulation A+ White Paper – What’s Working?

There has been a great deal of hyperbole and misinformation surrounding the use of the new SEC Regulation A+, which allows a private U.S. company to issue freely tradeable shares to the general public. A new White Paper recently  released … Continue reading

Posted in Capital Raising, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments | Tagged , , , , , , , | Comments Off on SEC Issues Regulation A+ White Paper – What’s Working?

Congress Passes H.R. 3784 SEC Office of Small Business Advocate Bill

[Author’s Note: HR 3784 was signed into law by President Barack Obama on December 16, 2016. For an update on this historic legislation, see my most recent article appearing on this Blog.] Most of us were probably sleeping last night … Continue reading

Posted in Corporate Law, Crowdfunding, General, SEC Developments | Tagged , , , | Comments Off on Congress Passes H.R. 3784 SEC Office of Small Business Advocate Bill

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

Posted in Capital Raising, Corporate Law, General, SEC Developments | Tagged , , , , , , , , , , , , | Comments Off on The Misplaced Logic of Dodd-Frank: Protecting the Ordinary Investor by Redefining the Accredited Investor

Regulation A+: A Sleeping Giant For Small Business Capital Formation?

  Since the 1930’s Regulation A has been unremarkable as a little known and little used “exemption” from the full SEC registration process – intended to allow smaller companies to access public markets through a streamlined SEC registration process – … Continue reading

Posted in Capital Raising, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments | Tagged , , , , , , , , , | Comments Off on Regulation A+: A Sleeping Giant For Small Business Capital Formation?

Samuel Guzik Joins Congressman Patrick McHenry in SEC Regulation A Webinar on March 13

Please join Congressman Patrick McHenry and attorneys Samuel Guzik and David N. Feldman in a one hour Webinar to be held on March 13, 2014, 1;30 pm, EDT,.  The Webinar will be moderated by Dara Albright, of NowStreet Wire. The … Continue reading

Posted in Capital Raising, Crowdfunding, General, SEC Developments, Uncategorized | Tagged , , , , , , , , , , , , | Comments Off on Samuel Guzik Joins Congressman Patrick McHenry in SEC Regulation A Webinar on March 13

Samuel Guzik Interviewed in Equities.com on SEC Regulation A+

Today’s issue of Equities.com features an interview with me, discussing issues and opportunities regarding the SEC’s proposed rules on Regulation A+.  The article is entitled “Can Reg A Crowdfunding Displace the Smaller IPO.” The article addresses some practical issues companies … Continue reading

Posted in Capital Raising, Corporate Law, Crowdfunding, Regulation A+ Resource Center, SEC Developments | Tagged , , , , , | Comments Off on Samuel Guzik Interviewed in Equities.com on SEC Regulation A+