Category Archives: Business Formation

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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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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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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Final Title III SEC Crowdfunding Rules – Done (almost)!!! Next Act: The Missing Title VIII (a/k/a H.R. 3784)

Posted on October 28, 2015 by Samuel Guzik

[As published on October 28, 2015 in Crowdfund Insider] I will not be discouraged by failure; I will not be elated by success.” Joseph B. Lightfoot The bigger than life headline yesterday? The long-awaited news that the SEC’s five Commissioners … Continue reading →

Posted in Business Formation, Capital Raising, Corporate Governance, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center | 2 Comments

The State of Massachusetts vs. Regulation A+ — State Regulators Take the SEC to Court

Posted on May 26, 2015 by Samuel Guzik

 As you undoubtedly have heard, or will hear, the Commonwealth of Massachusetts via via its Secretary of State, William Galvin, filed a lawsuit against the SEC on Friday to block the implementation of SEC Final Rules implementing Regulation A+.  . Though … Continue reading →

Posted in Business Formation, Capital Raising, Corporate Governance, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments | 2 Comments

Mark Your Calendars – Regulation A+ Goes Live on June 19, 2015

Posted on April 20, 2015 by Samuel Guzik

For those of you who have been following JOBS Act final rulemaking, Regulation A+, allowing companies to conduct an IPO up to $50 million at reduced initial and ongoing expense compared to a traditional IPO, today was another important milestone. … Continue reading →

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SEC Commissioner Daniel Gallagher Speaks to the SME Capital Ecosystem

Posted on March 30, 2015 by Samuel Guzik

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 →

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JOBS Act State of the Union: What’s Become of Regulation A+ and Crowdfunding?

Posted on March 12, 2015 by Samuel Guzik

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 →

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On the Misplaced Priorities of Dodd-Frank & the SEC: A Call for a “New Deal” in Washington for America’s Small Business

Posted on December 3, 2014 by Samuel Guzik

[Note – The picture above is Circa 1932, New York, NY: a Depression Era “Sweat Shop.” Pictured fifth from the right is the author’s Grandfather, Samuel Guzik] It could have been the kickoff of a grand political campaign – a … Continue reading →

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Is the SEC Helping or Hurting Intrastate Crowdfunding?

Posted on November 23, 2014 by Samuel Guzik

I have written a great deal since May 2014 as to my concerns over recent SEC interpretations regarding the use of the Internet and social media in intrastate crowdfunded offerings relying on SEC Rule 147 – an exemption from federal … Continue reading →

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