Category Archives: Corporate Law

Blockchain and Security Tokens (a/k/a Digital Securities): A Securities Lawyer’s View from the 2018 Los Angeles Crypto Invest Summit

Posted on October 30, 2018 by Samuel Guzik

As a securities attorney, when I attend a conference in a rapidly developing area, I come with my own prejudices and beliefs, but with an open mind and open ears – to hear,  digest and discuss the latest developments and thinking.  The … Continue reading →

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

Posted on July 30, 2018 by Samuel Guzik

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

Posted on December 31, 2016 by Samuel Guzik

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

Posted on December 29, 2016 by Samuel Guzik

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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SEC Issues Regulation A+ White Paper – What’s Working?

Posted on December 23, 2016 by Samuel Guzik

There has been a great deal of hyperbole and misinformation surrounding the use of the new SEC Regulation A+, which allows a private U.S. company to issue freely tradeable shares to the general public. A new White Paper recently  released … Continue reading →

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

Posted on December 18, 2016 by Samuel Guzik

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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Congress Passes H.R. 3784 SEC Office of Small Business Advocate Bill

Posted on December 10, 2016 by Samuel Guzik

[Author’s Note: HR 3784 was signed into law by President Barack Obama on December 16, 2016. For an update on this historic legislation, see my most recent article appearing on this Blog.] Most of us were probably sleeping last night … Continue reading →

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On the SEC’s New Intrastate Crowdfunding Rules and the Nanny State

Posted on October 31, 2016 by Samuel Guzik

On October 26, 2016, the SEC’s three Commissioners convened at their headquarters to adopt new rules intended to modernize what had historically been a little used path of raising capital for startups, early stage businesses and community-based enterprises: the so … Continue reading →

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SEC Adopts Final Expanded Intrastate Crowdfunding Rules

Posted on October 26, 2016 by Samuel Guzik

Today the SEC unanimously adopted amendments to Rule 147 and Rule 504, and adopted a new Rule 147A, intended to modernize and facilitate local offerings by companies in their home state.  The final rules are much improved from the proposed … Continue reading →

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SEC REGULATORY ALERT: COMMISSION POISED TO ADOPT EXPANDED INTRASTATE CROWDFUNDING RULES

Posted on October 21, 2016 by Samuel Guzik

The Securities and Exchange Commission has announced that it will be meeting on October 26, 2016 to consider and adopt amendments to Rule 147, the safe harbor for the issuance of securities pursuant to the so called intrastate exemption.  Rule … Continue reading →

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