Category Archives: Corporate Governance

Growth Capital Summit Tackles JOBS Act & More on Eve of SEC Forum on Small Business Capital Formation

Posted on November 3, 2014 by Samuel Guzik

[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 →

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An Open Letter to SEC Chair White: It’s time to Lead the Crowd (funding)

Posted on November 2, 2014 by Samuel Guzik

  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 →

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Samuel S. Guzik Publishes Second JOBS Act Article in The Harvard Law School Forum in 2014

Posted on March 9, 2014 by Samuel Guzik

Today’s edition of The Harvard Law School Forum on Corporate Governance and Financial Regulation features an article written by me, entitled “SEC Crowdfunding Rulemaking under the JOBS Act – An Opportunity Lost?”  The article is an analysis of choices and … Continue reading →

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On Regulation A+, CrowdfundingPlus and JOBS Act 2.0

Posted on February 24, 2014 by Samuel Guzik

For those of you who have been following the regulatory labyrinth that has followed in the heels of the JOBS Act, the perpetual questions du jour have been: What ever happened to Title III investment crowdfunding? What ever happened to Regulation … Continue reading →

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THE SIX DEADLY SINS OF THE SEC’S PROPOSED CROWDFUNDING REGULATIONS – AND HOW TO MAKE THE SEC REPENT BEFORE IT IS TOO LATE

Posted on January 12, 2014 by Samuel Guzik

In a previous article I identified a number of serious problems with the SEC’s proposed crowdfunding regulations. I also promised readers to share my opinions on what can and should be done by crowdfunding supporters to fix the problems – … Continue reading →

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On the Proposed SEC Regulations & Crowdfunding – A Postscript: Is SEC Commissioner Gallagher a Friend of the Crowd?

Posted on November 11, 2013 by Samuel Guzik

Behind the unanimous vote that accompanied the SEC’s issuance of proposed crowdfunding regulations on October 23, 2013, I sensed that there was more afoot behind the congenial surface.  It seemed unlikely to this Commission observer that the sharp divisions amongst … Continue reading →

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ON THE PROPOSED SEC REGULATIONS AND CROWDFUNDING: LET’S GET IT RIGHT, CHAIRMAN WHITE

Posted on November 5, 2013 by Samuel Guzik

There was an air of euphoria in the crowdfunding community on October 23 when the U.S. Securities and Exchange Commission finally issued its proposed crowdfunding rules – a necessary step to implement equity crowdfunding, as dictated by Congress in the … Continue reading →

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SEC Extends Comment Period for JOBS Act Rule 506 Proposed Rulemaking – Is the SEC About to Pivot?

Posted on September 28, 2013 by Samuel Guzik

September 23, 2013 kicked off an historic period in federal securities laws.  For the first time in 80 years companies would be allowed to publicly solicit investors in unregistered private placements so long as all of the investors were accredited.  … Continue reading →

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SEC Issues Final JOBS Act Regulations Allowing Public Solicitation of Investors in Private Placements Under Rule 506 of Regulation D; New Proposed Regulations Regulating Rule 506 Private Placements Also Issued for Public Comment on July 10, 2013

Posted on July 12, 2013 by Samuel Guzik

On April 5, 2012, President Obama signed into law the Jumpstart Our Business Startups Act (JOBS Act), making sweeping changes to federal laws regulating capital formation.  One of the more significant changes to existing law was a directive to the … Continue reading →

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Startup Business Lawyer or Legal Self-Help?

Posted on June 7, 2013 by Samuel Guzik

You finally have your management team and your business plan in hand.  You are ready to launch your startup business after months of analysis and planning.  Funds are limited, so you go onto the Internet to find the quickest and … Continue reading →

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