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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
SEC Commissioner Daniel Gallagher Speaks to the SME Capital Ecosystem
There is a time to speak up – and a time to listen. Today is a time to listen – to SEC Commissioner Daniel Gallagher, who gave yet another major address at a gathering Friday at Vanderbilt Law School. The … Continue reading
Posted in Business Formation, Capital Raising, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments
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Regulation A+ Interactive Webinar With Congressman David Schweikert, the Author of Regulation A+ – & Securities Attorney Samuel S. Guzik
For those of you interested in learning more about Regulation A+ from the Author of Title IV of the JOBS Act of 2012 (Regulation A+), please join Congressman David Schweikert and me in a live interactive Webinar being held on … Continue reading
Posted in Capital Raising, Corporate Governance, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments
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Regulation A+: Q & A Primer With Securities Attorney Samuel S. Guzik
Following is intended to provide basic information about the new Regulation A+, adopted by the SEC on March 25, 2015, and which is expected to become effective in early June 2015. Please bear in mind that this information is general … Continue reading
SEC Adopts Final Rules Implementing JOBS Act Regulation A+
This morning the Commissioners of the U.S. Securities and Exchange Commission voted unanimously to adopt final rules implementing Title IV of the JOBS Act of 2012, popularly referred to as Regulation A+. Though the SEC has yet to post the … Continue reading
Posted in Capital Raising, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments
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It’s Official – Regulation A+ Arrives on March 25, 2015!
For those of you who read my article on March 11, entitled: JOBS Act State of the Union: What’s Become of Regulation A+ and Crowdfunding? I provided my prognosis on what to expect as far as the SEC completing final … Continue reading
On the JOBS Act, Market Transparency and the Search for Truth: A Lesson in Financial Market History & Current Events
“Those that fail to learn from history are doomed to repeat it.” George Santayana, Winston Churchill. Many financial market observers, including myself, have greeted the JOBS … Continue reading
JOBS Act State of the Union: What’s Become of Regulation A+ and Crowdfunding?
To borrow a line from SEC Commissioner Daniel M. Gallagher, quoting from the fight song of his alma mater, Georgetown University: Oh How Long It’s Been! As we approach the three year anniversary of the signing into law of the JOBS … Continue reading
Posted in Business Formation, Capital Raising, Corporate Governance, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments
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The JOBS Act, Crowdfinance & Building Social Consensus: Are Investors Unnecessarily at Risk?
Is the JOBS Act Title II ecosystem being built around the art of the “con” by some Internet funding platforms and companies raising money on these platforms? The answer seems to be yes, judging by investment advice provided by Morningstar, … Continue reading
Posted in Capital Raising, Corporate Law, Crowdfunding, General, SEC Developments
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The CNBC Crowdfinance 50 Index: When an Investor “Commitment” is Just a Kiss
In July 2013 the SEC implemented Title II of the JOBS Act of 2012 through Rule 506(c) of Regulation D, which for the first time in over 80 years allowed companies to engage in general solicitation of investors in an … Continue reading
Posted in Capital Raising, Crowdfunding, General, SEC Developments
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Investment Crowdfunding in 2015: A Much Needed Thaw in the Regulatory Gridlock*
[Author’s Note: The below article was cited as authority by Jonathan Ortmans, Senior Fellow, in an article appearing on The Kauffmann Foundation Blog on January 5, 2015 http://bit.ly/1zPGC7u] For many focused on opening up new avenues of capital formation for … Continue reading
Posted in Capital Raising, Corporate Governance, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments
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