Author Archives: Samuel Guzik

An Upcoming Event for Private Companies to Explore Regulation A+ Financing Options

Posted on October 10, 2016 by Samuel Guzik

Though I regularly speak at national alternative finance events it has not been my custom or practice to independently publicize these events.  So today being Columbus Day, an historic event marking the voyage of Christopher Columbus toward new horizons, I … Continue reading →

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Busted! SEC Targets Reg A+ Marijuana Company, Med-X, in Administrative Proceeding

Posted on September 29, 2016 by Samuel Guzik

The Regulation A+ industry was buzzing this week – not with excitement, but with a healthy dose of trepidation.  One of the first, high (no pun intended) profile Regulation A+ offerings, launched in November 2015, after a seemingly successful “Testing … Continue reading →

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IS THE SEC’S ACCREDITED INVESTOR DEFINITION UNCONSTITUTIONAL?

Posted on September 28, 2016 by Samuel Guzik

Many have railed against what can be argued is the irrationality of protecting non-accredited investors from themselves, i.e. the accredited investor definition.   The definition was crafted by the SEC back in the early 1980’s as the centerpiece of what has … Continue reading →

Posted in Capital Raising, Corporate Law, General, SEC Developments | 1 Comment

SEC Quietly Injects Life Into Title III Crowdfunding Solicitation!

Posted on June 27, 2016 by Samuel Guzik

[As published on June 27, 2016 in Crowdfund Insider] When it comes to capital formation for SME’s through federal legislation, one can usually count on the North American Securities Administrators Association (NASAA) to do their best to block or narrow … Continue reading →

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An A+ Day for SEC Regulation A+ – A Victory in Court for Small Business!

Posted on June 14, 2016 by Samuel Guzik

Today was an important day for small and emerging companies. On this day the US Court of Appeals for the DC Circuit dismissed the challenge by NASAA and others to set aside the SEC’s rulemaking under Title IV of the … Continue reading →

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JOBS Act Crowdfunding Begins on May 16, 2016: Don’t Get Busted for Solicitation!

Posted on June 3, 2016 by Samuel Guzik

    It’s been five months or so since the SEC published its long awaited investment crowdfunding rules.  Though Congress dictated that this task be completed by the end of 2012, the SEC missed the mark by nearly three years.  … Continue reading →

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JOBS Act Title III Crowdfunding – A Trap for the Unwary?

Posted on June 2, 2016 by Samuel Guzik

A few weeks ago I wrote an article discussing one of the potential pitfalls – and weaknesses – in the SEC’s new Regulation CF, which became effective May 16, 2016, which allows private companies to raise up to $1 million … Continue reading →

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House of Representatives to SEC: Time to Lift Our Entrepreneurs Off the Floor!

Posted on February 2, 2016 by Samuel Guzik

Originally Published on Crowdfund Insider on February 1, 2016 – And as Tweeted by Mark Cuban to his 4.5 Million Twitter Followers on February 2 ] February 1, 2016 @ 9:30 pm By Samuel Guzik For those of you who … Continue reading →

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Forbes.com Regulation A+ Interview of Sam Guzik Ranks in YouTube 2015 Top Five Interviews

Posted on December 30, 2015 by Samuel Guzik

2015 was a busy year for me, with SEC final rulemaking completed for Regulation A+ and JOBS Act Title III crowdfunding. In addition to more than a dozen speaking engagements around the country I had the opportunity to participate in … Continue reading →

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Small Business in Washington, DC: Could Santa be Coming to Town this Year?

Posted on December 11, 2015 by Samuel Guzik

  December 2, 2015, seemed no different than any other day in Washington, D.C. With a light rain falling, it was a rather dismal day for sightseeing in our Nation’s Capitol – yet the sun seemed to be shining for … Continue reading →

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