Category Archives: Corporate Law

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

SEC Adopts Final Rules Implementing JOBS Act Regulation A+

Posted on March 25, 2015 by Samuel Guzik

This morning the Commissioners of the U.S. Securities and Exchange Commission voted unanimously to adopt final rules implementing Title IV of the JOBS Act of 2012, popularly referred to as Regulation A+. Though the SEC has yet to post the … Continue reading →

Posted in Capital Raising, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments | Comments Off on SEC Adopts Final Rules Implementing JOBS Act Regulation A+

It’s Official – Regulation A+ Arrives on March 25, 2015!

Posted on March 21, 2015 by Samuel Guzik

For those of you who read my article on March 11, entitled: JOBS Act State of the Union: What’s Become of Regulation A+ and Crowdfunding? I provided my prognosis on what to expect as far as the SEC completing final … Continue reading →

Posted in Capital Raising, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments | 2 Comments

On the JOBS Act, Market Transparency and the Search for Truth: A Lesson in Financial Market History & Current Events

Posted on March 17, 2015 by Samuel Guzik

“Those that fail to learn from history are doomed to repeat it.”                              George  Santayana, Winston Churchill. Many financial market observers, including myself, have greeted the JOBS … Continue reading →

Posted in Capital Raising, Corporate Law, Crowdfunding, General, SEC Developments, Uncategorized | 1 Comment

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?

The JOBS Act, Crowdfinance & Building Social Consensus: Are Investors Unnecessarily at Risk?

Posted on February 24, 2015 by Samuel Guzik

Is the JOBS Act Title II ecosystem being built around the art of the “con” by some Internet funding platforms and companies raising money on these platforms?  The answer seems to be yes, judging by investment advice provided by Morningstar, … Continue reading →

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A Look at the Year Ahead in Washington DC for JOBS Act 2.0 and SEC Rulemaking: Regulation A+ is Around the Corner

Posted on December 16, 2014 by Samuel Guzik

Many of you who have been following the unfolding of the various provisions of the JOBS Act of 2012. And some of you have been asking: Where are those damn Regulation A+ and investment crowdfunding final rules the SEC has … Continue reading →

Posted in Capital Raising, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments | Comments Off on A Look at the Year Ahead in Washington DC for JOBS Act 2.0 and SEC Rulemaking: Regulation A+ is Around the Corner

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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On SEC Proposed Regulation A+: Has Commissioner Stein Succumbed to the NASAA Kool-Aid?

Posted on November 29, 2014 by Samuel Guzik

Though SEC Commissioners Daniel M. Gallagher and Kara Stein may have travelled on the same plane on the way to the Los Angeles County Bar Association Annual Securities Regulation Conference to address a room of securities industry professionals on October … Continue reading →

Posted in Corporate Law, General, Regulation A+ Resource Center, SEC Developments | Comments Off on On SEC Proposed Regulation A+: Has Commissioner Stein Succumbed to the NASAA Kool-Aid?

Is the SEC Helping or Hurting Intrastate Crowdfunding?

Posted on November 23, 2014 by Samuel Guzik

I have written a great deal since May 2014 as to my concerns over recent SEC interpretations regarding the use of the Internet and social media in intrastate crowdfunded offerings relying on SEC Rule 147 – an exemption from federal … Continue reading →

Posted in Business Formation, Capital Raising, Corporate Law, Crowdfunding, General, SEC Developments | Comments Off on Is the SEC Helping or Hurting Intrastate Crowdfunding?