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- JP Morgan Affiliates to Pay $151 Million to Resolve SEC Enforcement Actions October 31, 2024
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Category Archives: Business Formation
On the SEC’s New Intrastate Crowdfunding Rules and the Nanny State
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
Posted in Business Formation, Capital Raising, Corporate Law, Crowdfunding, General, SEC Developments
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House of Representatives to SEC: Time to Lift Our Entrepreneurs Off the Floor!
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
Posted in Business Formation, Capital Raising, Corporate Governance, Corporate Law, Crowdfunding, General, SEC Developments
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Small Business in Washington, DC: Could Santa be Coming to Town this Year?
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
Posted in Business Formation, Capital Raising, Corporate Governance, Corporate Law, Crowdfunding, General
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Final Title III SEC Crowdfunding Rules – Done (almost)!!! Next Act: The Missing Title VIII (a/k/a H.R. 3784)
[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
The State of Massachusetts vs. Regulation A+ — State Regulators Take the SEC to Court
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
Mark Your Calendars – Regulation A+ Goes Live on June 19, 2015
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
Posted in Business Formation, Capital Raising, Corporate Governance, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments
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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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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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On the Misplaced Priorities of Dodd-Frank & the SEC: A Call for a “New Deal” in Washington for America’s Small Business
[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
Posted in Business Formation, Capital Raising, Corporate Governance, Corporate Law, General, SEC Developments
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Is the SEC Helping or Hurting Intrastate Crowdfunding?
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
Posted in Business Formation, Capital Raising, Corporate Law, Crowdfunding, General, SEC Developments
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