-
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
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
Comments Off on Is the SEC Helping or Hurting Intrastate Crowdfunding?
A Funny Thing Happened on the Way to the (2014 SEC Government Small Business) Forum
As one who has represented small and emerging growth companies over the past 36 years in navigating access to the capital markets, I have closely followed the legislative and regulatory developments in Washington, D.C. since the enactment of the Jumpstart … Continue reading
Posted in Business Formation, Capital Raising, Corporate Governance, Corporate Law, Crowdfunding, General, SEC Developments
Comments Off on A Funny Thing Happened on the Way to the (2014 SEC Government Small Business) Forum
Small Business SEC Regulatory Reform in Washington, D.C. – “All in on Red” on Election Day 2014
The place was Washington, D.C. The occasion was the Annual Meeting of the Angel Capital Association at the Hilton Hotel in March 2014. Hundreds of attendees were gathered for lunch in the main Ballroom, the largest in the City. … Continue reading
Posted in Capital Raising, Corporate Law, Crowdfunding, General, SEC Developments
1 Comment
Growth Capital Summit Tackles JOBS Act & More on Eve of SEC Forum on Small Business Capital Formation
[Reprinted from November 3, 2014 Edition of CrowdfundInsider] November 3, 2014 @ 3:28 pm By JD Alois November is a big month in Washington, DC. Not only is it the mid-term election season that happens to have a bit of … Continue reading
Posted in Capital Raising, Corporate Governance, Corporate Law, Crowdfunding, General, SEC Developments
Comments Off on Growth Capital Summit Tackles JOBS Act & More on Eve of SEC Forum on Small Business Capital Formation
An Open Letter to SEC Chair White: It’s time to Lead the Crowd (funding)
The place: Washington, D.C. – the occasion: the swearing in of a new federal agency head – one charged in part with regulating the flow of capital to small businesses. President Obama and others listened with a hopeful ear. … Continue reading
Posted in Capital Raising, Corporate Governance, Corporate Law, Crowdfunding, General, SEC Developments
Comments Off on An Open Letter to SEC Chair White: It’s time to Lead the Crowd (funding)
SEC Annual Forum on Small Business Capital Formation: Ground Hog Day for Small Biz?
Many of us are wondering when, if and how the SEC will finally roll out final regulations to implement major provisions of the JOBS Act of 2012, including Title III (investment crowdfunding) and Title IV (Regulation A+). So too were … Continue reading
Posted in Business Formation, Capital Raising, Crowdfunding, General, SEC Developments
Comments Off on SEC Annual Forum on Small Business Capital Formation: Ground Hog Day for Small Biz?
Open Letter to the SEC: Please Don’t Hang Up on Small Business (And Please Don’t Put Small Business on Hold)
Some of you who read my July 2014 article entitled “Intrastate Crowdfunding at Risk -Has Intrastate Crowdfunding in Washington State Been Washed Out by NASAA and the SEC?” may have concluded that I was making a mountain out of a … Continue reading
Posted in Capital Raising, Corporate Law, Crowdfunding, General, SEC Developments, Uncategorized
Tagged accredited investors, Crowdfunding, Crowdfunding Plus, CrowdfundingPlus, final SEC rules, Guzik and Associates, intrastate crowdfunding, Invest Kansas Exemption, JOBS Act, NASAA, Patrick McHenry, proposed crowdfunding rules, proposed sec crowdfunding regulations, Regulation A, Rule 506, samuel guzik
1 Comment
The Misplaced Logic of Dodd-Frank: Protecting the Ordinary Investor by Redefining the Accredited Investor
Many of you are still reeling from the impact of the worldwide collapse of the financial markets in 2008. And most of us have rightfully observed that following one of the greatest debacles in financial history, no one has gone … Continue reading
Posted in Capital Raising, Corporate Law, General, SEC Developments
Tagged accredited investors, final SEC rules, FINRA, Guzik and Associates, Investor Advisory Committee, JOBS Act, NASAA, private placements, regulation d, Rule 506, samuel guzik, sec, securities attorney
Comments Off on The Misplaced Logic of Dodd-Frank: Protecting the Ordinary Investor by Redefining the Accredited Investor
Intrastate Crowdfunding at Risk
Has Intrastate Crowdfunding in Washington State Been Washed Out by NASAA and the SEC? On May 5, 2014, I published an article in Crowdfund Insider highlighting recent informal “rulemaking” at the SEC Division of Corporation Finance, which in my opinion … Continue reading
Posted in Capital Raising, Corporate Law, Crowdfunding, General, SEC Developments
Tagged Crowdfunding, equity crowdfunding, general advertising, general solicitation, Georgia crowdfunding, intrastate crowdfunding legislation, Invest Georgia Exemption, Invest Kansas Exemption, JOBS Act, Joe Wallin, NASAA, proposed crowdfunding rules, proposed sec crowdfunding regulations, proposed SEC rules, public solicitation, Rick Fleming, samuel guzik, SEC crowdfunding regulations, state crowdfunding legislation, Washington State crowdfunding
Comments Off on Intrastate Crowdfunding at Risk
MIT Panel Discussion: Can Crowdfunding Democratize Access to Capital?
Following is a Crowdfunding Roundtable I participated in at the MIT Sloan School of Business on May 19, 2014, which included my presentation on the SEC’s proposed Regulation A+: May 19 @ 1:00 pm – 2:00 pm Event Details The MIT Innovation … Continue reading
Posted in Capital Raising, Corporate Law, Crowdfunding, SEC Developments
Tagged Crowdfunding, CrowdfundingPlus, equity crowdfunding, Guzik and Associates, JOBS Act, proposed sec crowdfunding regulations, proposed sec crowdfunding rules, Regulation A, Rule 506, samuel guzik, SEC crowdfunding regulations
Comments Off on MIT Panel Discussion: Can Crowdfunding Democratize Access to Capital?