Category Archives: General

The Misplaced Logic of Dodd-Frank: Protecting the Ordinary Investor by Redefining the Accredited Investor

Posted on August 3, 2014 by Samuel Guzik

Many of you are still reeling from the impact of the worldwide collapse of the financial markets in 2008. And most of us have rightfully observed that following one of the greatest debacles in financial history, no one has gone … Continue reading →

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Intrastate Crowdfunding at Risk

Posted on July 27, 2014 by Samuel Guzik

Has Intrastate Crowdfunding in Washington State Been Washed Out by NASAA and the SEC? On May 5, 2014, I published an article in Crowdfund Insider highlighting recent informal “rulemaking” at the SEC Division of Corporation Finance, which in my opinion … Continue reading →

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JOBS Act 2.0: Congressman McHenry’s Cure for the “Six Deadly Sins” of Crowdfunding Regulation

Posted on June 3, 2014 by Samuel Guzik

  For those of you who were too busy to notice, U.S. Congressman Patrick McHenry introduced three draft bills into the House Financial Services Committee last week.  One of them, if it were to become law, would open up the … Continue reading →

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Regulation A+: A Sleeping Giant For Small Business Capital Formation?

Posted on June 3, 2014 by Samuel Guzik

  Since the 1930’s Regulation A has been unremarkable as a little known and little used “exemption” from the full SEC registration process – intended to allow smaller companies to access public markets through a streamlined SEC registration process – … Continue reading →

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Samuel Guzik Joins Congressman Patrick McHenry in SEC Regulation A Webinar on March 13

Posted on March 11, 2014 by Samuel Guzik

Please join Congressman Patrick McHenry and attorneys Samuel Guzik and David N. Feldman in a one hour Webinar to be held on March 13, 2014, 1;30 pm, EDT,.  The Webinar will be moderated by Dara Albright, of NowStreet Wire. The … 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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Small Business v. State Blue Sky Regulation – Sunny Days Ahead in 2015?

Posted on March 3, 2014 by Samuel Guzik

Groundhog Day is celebrated annually on February 2.  As folklore goes, if it is cloudy when a groundhog emerges from its hole on this day, Spring will come early; if it is sunny, the groundhog will see its shadow 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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Dawn of a New Era: SEC Chair White Speaks to Small Business

Posted on February 2, 2014 by Samuel Guzik

In a speech delivered on January 27 by SEC Chair Mary Jo White at the 41st Annual Securities Regulation Institute in Coronado, California, entitled: “The SEC in 2014,” it appears that Chair White has “gotten the memo” from her predecessors, and is … Continue reading →

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Regulation A+ Offerings—A New Era at the SEC

Posted on January 26, 2014 by Samuel Guzik

[ORIGINALLY PUBLISHED IN THE HARVARD LAW SCHOOL FORUM ON CORPORATE GOVERNANCE AND FINANCIAL REGULATION ON JANUARY 15 2014] December 18, 2013 may well mark an historic turning point in the ability of small business to effectively access capital in the private … Continue reading →

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