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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
Category Archives: Capital Raising
SEC Quietly Injects Life Into Title III Crowdfunding Solicitation!
[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
Posted in Capital Raising, Corporate Law, Crowdfunding, General, SEC Developments
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An A+ Day for SEC Regulation A+ – A Victory in Court for Small Business!
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
Posted in Capital Raising, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments
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JOBS Act Crowdfunding Begins on May 16, 2016: Don’t Get Busted for Solicitation!
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
Posted in Capital Raising, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments, Uncategorized
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JOBS Act Title III Crowdfunding – A Trap for the Unwary?
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
Posted in Capital Raising, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center, 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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Forbes.com Regulation A+ Interview of Sam Guzik Ranks in YouTube 2015 Top Five Interviews
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
Posted in Capital Raising, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center, 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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Crowdfunding Counselor Sam Guzik, A Voice Galvanizing & Advocating for the Crowd
[The following interview of Samuel S. Guzik appeared in Crowdfund Insider on December 1, 2015] December 1, 2015 @ 8:00 am By Erin Hobey “I do not recycle or repackage the ideas of others. I try to focus instead … Continue reading
Posted in Capital Raising, Corporate Governance, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center
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JOBS ACT CROWDFUNDING IN 2016 – IT’S TIME TO CONNECT THE DOTS IN THIS NEW ERA
For those of you who follow my ramblings on Crowdfund Insider, you know that I do not put out infomercials – nor do I recycle or repackage the ideas of others. I try to focus instead on broader JOBS Act … Continue reading
Posted in Capital Raising, Crowdfunding, General, Regulation A+ Resource Center
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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