Author Archives: Samuel Guzik

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

Posted on December 23, 2016 by Samuel Guzik

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 →

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HR 3784 – SEC Office of Small Business Advocate – Is Now the Law of the Land

Posted on December 18, 2016 by Samuel Guzik

On December 16, 2016, President Barack Obama Signed into Law HR 3784 – SEC Office of Small Business Advocate, creating an independent Office of Small Business Advocate at the SEC, reporting directly to the full Commission and Congress. This legislation … Continue reading →

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

Posted on December 10, 2016 by Samuel Guzik

[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 →

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Unstacking the Deck Against SME’s in Washington: A Call for an SEC Small Business Advocate

Posted on November 16, 2016 by Samuel Guzik

[As published inn Crowdfund Insider on November 16, 2016] With a new administration set to take the reins of power in the White House in January 2017, not to mention a new, Republican appointed Chair of the SEC in the … Continue reading →

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On the SEC’s New Intrastate Crowdfunding Rules and the Nanny State

Posted on October 31, 2016 by Samuel Guzik

On October 26, 2016, the SEC’s three Commissioners convened at their headquarters to adopt new rules intended to modernize what had historically been a little used path of raising capital for startups, early stage businesses and community-based enterprises: the so … Continue reading →

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SEC Adopts Final Expanded Intrastate Crowdfunding Rules

Posted on October 26, 2016 by Samuel Guzik

Today the SEC unanimously adopted amendments to Rule 147 and Rule 504, and adopted a new Rule 147A, intended to modernize and facilitate local offerings by companies in their home state.  The final rules are much improved from the proposed … Continue reading →

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SEC REGULATORY ALERT: COMMISSION POISED TO ADOPT EXPANDED INTRASTATE CROWDFUNDING RULES

Posted on October 21, 2016 by Samuel Guzik

The Securities and Exchange Commission has announced that it will be meeting on October 26, 2016 to consider and adopt amendments to Rule 147, the safe harbor for the issuance of securities pursuant to the so called intrastate exemption.  Rule … Continue reading →

Posted in Capital Raising, Corporate Law, Crowdfunding, General | 1 Comment

On Investment Crowdfunding, Diversification & the Wisdom of the Crowd

Posted on October 20, 2016 by Samuel Guzik

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NASAA and Members of Congress Come Together on the Need for the SEC to Expand Intrastate Crowdfunding Rules

Posted on October 16, 2016 by Samuel Guzik

It is rare that I am able to find agreement with the publicly stated positions of the North American Securities Administrators Association (NASAA). Equally rare – members of Congress who are traditionally strong advocates for “smart” regulatory reform of capital … Continue reading →

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Protected: Yes – There Actually Is Something Obscene About SEC Regulation A+ (Sort Of)

Posted on October 10, 2016 by Samuel Guzik

There is no excerpt because this is a protected post.

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