-
Latest SEC News- Tai Mo Shan to Pay $123 Million for Negligently Misleading Investors About Stability of Terra USD December 20, 2024
- SEC Adopts Rule Amendments to the Broker-Dealer Customer Protection Rule December 20, 2024
- SEC Files Settled Charges Against Multiple Entities for Failing to Timely File Forms D in Connection With Securities Offerings December 20, 2024
- SEC Charges Silver Point Capital with Policy Failures Regarding Receipt of Material Nonpublic Information About Bonds Issued by Puerto Rico December 20, 2024
- Deutsche Bank Subsidiary to Pay $4 Million for Untimely Filing Certain Suspicious Activity Reports December 20, 2024
Author Archives: Samuel Guzik
Blockchain and Security Tokens (a/k/a Digital Securities): A Securities Lawyer’s View from the 2018 Los Angeles Crypto Invest Summit
As a securities attorney, when I attend a conference in a rapidly developing area, I come with my own prejudices and beliefs, but with an open mind and open ears – to hear, digest and discuss the latest developments and thinking. The … Continue reading
Posted in Capital Raising, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments, Security Tokens/ICOs
Tagged blockchain, crowd invest summit, cryptocurrency, digital securities, ICO, Regulation A, Regulation A Lawyer, Regulation A+ attorney, sec, security token attorney, security token lawyer, security tokens, STO, STO attorney, STO lawyer
Comments Off on Blockchain and Security Tokens (a/k/a Digital Securities): A Securities Lawyer’s View from the 2018 Los Angeles Crypto Invest Summit
President Trump: It’s High Time for a few More Tweets to SEC Chairman Jay Clayton
[Originally published in Crowdfund Insider on August 28, 2018] President Trump: It’s High Time for a few More Tweets to SEC Chairman Jay Clayton Any good litigator can tell you that the difference between success and failure is often the … Continue reading
Posted in Capital Raising, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments, Security Tokens/ICOs
Tagged Crowdfunding, crowdfunding attorney, Donald Trump, Guzik and Associates, Jay Clayto, JOBS Act, proposed SEC rules, Regulation A, Regulation A+ attorney, Regulation CF, regulation d, Rule 506, samuel guzik, sec
Comments Off on President Trump: It’s High Time for a few More Tweets to SEC Chairman Jay Clayton
Fixing the JOBS Act Beyond JOBS Act 3.0: Follow the Money
[Originally Published in Crowdfund Insider on July 25, 2018] Often repeated, but not always followed, is the advice: follow the money. Sometimes basic problems – and their solutions – are more readily understood (and solved) with this simple mantra. Effective … Continue reading
Posted in Capital Raising, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments
Tagged Crowdfunding, crowdfunding attorney, crowdfunding lawyer, JOBS Act, Regulation A Lawyer, Regulation A+ attorney, samuel guzik, sec
Comments Off on Fixing the JOBS Act Beyond JOBS Act 3.0: Follow the Money
SEC Regulation A+, ICOs and Small Business Capital Formation: For Whom the Bells Toll?
If the Wall Street Journal is any indicator, so called Regulation A+ offerings, which sprung to life in June 2015, courtesy of Title IV of the Jumpstart Our Business Startups Act of 2012 (the JOBS Act) and SEC rulemaking, are (or … Continue reading
Posted in Capital Raising, Corporate Governance, General, Regulation A+ Resource Center, SEC Developments
Tagged Crowdfunding, crowdfunding attorney
Comments Off on SEC Regulation A+, ICOs and Small Business Capital Formation: For Whom the Bells Toll?
The SEC and Regulated ICOs: Be Careful What You Wish For
[Originally Published in Crowdfund Insider on November 12, 2017] Man Proposes and God Disposes On November 8, at an Annual New York City gathering of securities professionals, SEC Chair Jay Clayton went off script – and in doing so provided what … Continue reading
Posted in Capital Raising, Corporate Governance, Corporate Law, General, SEC Developments, Security Tokens/ICOs
Comments Off on The SEC and Regulated ICOs: Be Careful What You Wish For
The SEC, the ICO and Avoiding the ICU: A Call for Leadership and Action
[Originally Published in Crowdfund Insider on November 6, 2017] As a securities lawyer and a sometimes advocate for smart regulation of capital formation, I must confess: When it comes to addressing the current state of the Initial Coin Offering … Continue reading
Posted in Capital Raising, Corporate Governance, Crowdfunding, General, SEC Developments, Security Tokens/ICOs
Tagged Crowdfunding, crowdfunding attorney, crowdfunding lawyer, ICO, Initial Coin Offering, JOBS Act, Regulation A Lawyer, Regulation A+ attorney, samuel guzik, sec
Comments Off on The SEC, the ICO and Avoiding the ICU: A Call for Leadership and Action
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 Crowdfunding, crowdfunding attorney, crowdfunding lawyer, JOBS Act, Regulation A Lawyer, Regulation A+ attorney, samuel guzik, sec
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 crowdfunding attorney, crowdfunding lawyer, IPO, Jay Clayton, JOBS Act, Regulation A, Regulation A Lawyer, Regulation A+ attorney, SAFE Securities, samuel guzik, sec, Small Business Advocate
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 Crowdfund Inside, Fintech, HR 3784, News, samuel guzik, sec, Small Business Advocate
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 cannabis stocks, Crowdfunding, crowdunding, Donald Trump, fix crowdfunding act, HR 3784, JOBS Act, Med-X, Paul Atkins, Regulation A, Regulation A+ attorney, Regulation A+ lawyer. Samuel Guzik, sec, SEC Small Business Advocate
Comments Off on Why I am “High” on the Prospects for SME’s in 2017