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- The SEC and Regulated ICOs: Be Careful What You Wish For
- The SEC, the ICO and Avoiding the ICU: A Call for Leadership and Action
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- The JOBS Act Turns Five, Regulation A+ Turns Two, Regulation Crowdfunding Turns One: What Should Be Next on the SEC Chair Jay Clayton’s Agenda
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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
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
Posted in Capital Raising, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments, Security Tokens/ICOs
Tagged blockchain, crowd invest summit, cryptocurrency, digital securities, ICO, Regulation A, Regulation A Lawyer, Regulation A+ attorney, sec, security token attorney, security token lawyer, security tokens, STO, STO attorney, STO lawyer
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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
Posted in Capital Raising, Corporate Governance, Corporate Law, General, SEC Developments, Security Tokens/ICOs
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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
Posted in Capital Raising, Corporate Governance, Corporate Law, Crowdfunding, General, SEC Developments
Tagged Crowdfund Inside, Fintech, HR 3784, News, samuel guzik, sec, Small Business Advocate
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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
Posted in Capital Raising, Corporate Governance, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments
Tagged cannabis stocks, Crowdfunding, crowdunding, Donald Trump, fix crowdfunding act, HR 3784, JOBS Act, Med-X, Paul Atkins, Regulation A, Regulation A+ attorney, Regulation A+ lawyer. Samuel Guzik, sec, SEC Small Business Advocate
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SEC Issues Regulation A+ White Paper – What’s Working?
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
Posted in Capital Raising, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments
Tagged Regulatiion A Attorney, Regulation A, Regulation A Lawyer, Regulation A Plus, Sam Guzik, samuel guzik, sec, White Paper
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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
Posted in Capital Raising, Corporate Governance, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments
Tagged HR 3784, samuel guzik, SEC attorney, SEC Small Business Advocate
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Congress Passes H.R. 3784 SEC Office of Small Business Advocate Bill
[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
Posted in Corporate Law, Crowdfunding, General, SEC Developments
Tagged HR 3784, samuel guzik, sec, Small Business Advocate
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On the SEC’s New Intrastate Crowdfunding Rules and the Nanny State
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
Posted in Business Formation, Capital Raising, Corporate Law, Crowdfunding, General, SEC Developments
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SEC Adopts Final Expanded Intrastate Crowdfunding Rules
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
Posted in Corporate Law, Crowdfunding, General, SEC Developments
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SEC REGULATORY ALERT: COMMISSION POISED TO ADOPT EXPANDED INTRASTATE CROWDFUNDING RULES
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
Posted in Capital Raising, Corporate Law, Crowdfunding, General
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