Category Archives: Corporate Governance

SEC Staff Provides Early Guidance on Use of Regulation A+

Posted on June 24, 2015 by Samuel Guzik

  [As published on June 24, 2015 on CrowdfundInsider.com] On June 23, 2015, the Staff of the Securities and Exchange Commission provided some public guidance on certain issues arising under the new Regulation A+ Final Rules. In a new section … Continue reading →

Posted in Capital Raising, Corporate Governance, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments | 7 Comments

Regulation A+ Packs a “Punch” – So too Congress and Title III Crowdfunding

Posted on June 22, 2015 by Samuel Guzik

Regulation A+ Day 1: A Look Past the Mainstream Media Headlines And Regulation A+’s Forgotten Crowdfunding Cousin Quietly Comes to Life in Congress! [Reprinted with permission from CrowdfundInsider, June 22, 2015] Some History Lessons Though some may quibble over the … Continue reading →

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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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Regulation A+ Interactive Webinar With Congressman David Schweikert, the Author of Regulation A+ – & Securities Attorney Samuel S. Guzik

Posted on March 27, 2015 by Samuel Guzik

For those of you interested in learning more about Regulation A+ from the Author of Title IV of the JOBS Act of 2012 (Regulation A+), please join Congressman David Schweikert and me in a live interactive Webinar being held on … Continue reading →

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Regulation A+: Q & A Primer With Securities Attorney Samuel S. Guzik

Posted on March 26, 2015 by Samuel Guzik

Following is intended to provide basic information about the new Regulation A+, adopted by the SEC on March 25, 2015, and which is expected to become effective in early June 2015. Please bear in mind that this information is general … Continue reading →

Posted in Capital Raising, Corporate Governance, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments | 5 Comments

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 →

Posted in Business Formation, Capital Raising, Corporate Governance, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments | Comments Off on JOBS Act State of the Union: What’s Become of Regulation A+ and Crowdfunding?

Investment Crowdfunding in 2015: A Much Needed Thaw in the Regulatory Gridlock*

Posted on December 31, 2014 by Samuel Guzik

[Author’s Note: The below article was cited as authority by Jonathan Ortmans, Senior Fellow, in an article appearing on The Kauffmann Foundation Blog on January 5, 2015 http://bit.ly/1zPGC7u] For many focused on opening up new avenues of capital formation for … 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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A Funny Thing Happened on the Way to the (2014 SEC Government Small Business) Forum

Posted on November 11, 2014 by Samuel Guzik

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 →

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