Category Archives: Corporate Governance

SEC Regulation A+, ICOs and Small Business Capital Formation: For Whom the Bells Toll?

[Originally Published in Crowdfund Insider on May 30, 2018] If the Wall Street Journal is any indicator, so called Regulation A+ offerings, which sprung to life in June 2015, courtesy of Title IV of the Jumpstart Our Business Startups Act … Continue reading

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The SEC and Regulated ICOs: Be Careful What You Wish For

[Originally Published in Crowdfund Insider on November 12, 2017]  Man Proposes and God Disposes On November 8, at an Annual  New York City gathering of securities professionals, SEC Chair Jay Clayton went off script – and in doing so provided what … Continue reading

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The SEC, the ICO and Avoiding the ICU: A Call for Leadership and Action

  [Originally Published in Crowdfund Insider on November 6, 2017] As a securities lawyer and a sometimes advocate for smart regulation of capital formation, I must confess: When it comes to addressing the current state of the Initial Coin Offering … Continue reading

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SEC Office of Small Business Advocate – One of Top 10 Fintech News Events in 2016

I am proud to be a part of one of the Top 10 Fintech News Events of 2016 – HR 3784 – SEC Office of Small Business Advocate: Top Fintech Stories from Crowdfund Insider during 2016 December 30, 2016 @ … Continue reading

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Why I am “High” on the Prospects for SME’s in 2017

The beginning of a new year is typically accompanied by renewed hope and positive expectations. 2017 is no exception.  As a staunch advocate of promoting the interests of small business generally, and smart regulation of capital formation, in particular, 2017 … Continue reading

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HR 3784 – SEC Office of Small Business Advocate – Is Now the Law of the Land

On December 16, 2016, President Barack Obama Signed into Law HR 3784 – SEC Office of Small Business Advocate, creating an independent Office of Small Business Advocate at the SEC, reporting directly to the full Commission and Congress. This legislation … Continue reading

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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

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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

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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

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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

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