Category Archives: Crowdfunding

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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Unstacking the Deck Against SME’s in Washington: A Call for an SEC Small Business Advocate

Posted on November 16, 2016 by Samuel Guzik

[As published inn Crowdfund Insider on November 16, 2016] With a new administration set to take the reins of power in the White House in January 2017, not to mention a new, Republican appointed Chair of the SEC in the … 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 →

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

On Investment Crowdfunding, Diversification & the Wisdom of the Crowd

Posted on October 20, 2016 by Samuel Guzik

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NASAA and Members of Congress Come Together on the Need for the SEC to Expand Intrastate Crowdfunding Rules

Posted on October 16, 2016 by Samuel Guzik

It is rare that I am able to find agreement with the publicly stated positions of the North American Securities Administrators Association (NASAA). Equally rare – members of Congress who are traditionally strong advocates for “smart” regulatory reform of capital … Continue reading →

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Busted! SEC Targets Reg A+ Marijuana Company, Med-X, in Administrative Proceeding

Posted on September 29, 2016 by Samuel Guzik

The Regulation A+ industry was buzzing this week – not with excitement, but with a healthy dose of trepidation.  One of the first, high (no pun intended) profile Regulation A+ offerings, launched in November 2015, after a seemingly successful “Testing … Continue reading →

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SEC Quietly Injects Life Into Title III Crowdfunding Solicitation!

Posted on June 27, 2016 by Samuel Guzik

[As published on June 27, 2016 in Crowdfund Insider] When it comes to capital formation for SME’s through federal legislation, one can usually count on the North American Securities Administrators Association (NASAA) to do their best to block or narrow … Continue reading →

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An A+ Day for SEC Regulation A+ – A Victory in Court for Small Business!

Posted on June 14, 2016 by Samuel Guzik

Today was an important day for small and emerging companies. On this day the US Court of Appeals for the DC Circuit dismissed the challenge by NASAA and others to set aside the SEC’s rulemaking under Title IV of the … Continue reading →

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