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Latest SEC News- Tai Mo Shan to Pay $123 Million for Negligently Misleading Investors About Stability of Terra USD December 20, 2024
- SEC Adopts Rule Amendments to the Broker-Dealer Customer Protection Rule December 20, 2024
- SEC Files Settled Charges Against Multiple Entities for Failing to Timely File Forms D in Connection With Securities Offerings December 20, 2024
- SEC Charges Silver Point Capital with Policy Failures Regarding Receipt of Material Nonpublic Information About Bonds Issued by Puerto Rico December 20, 2024
- Deutsche Bank Subsidiary to Pay $4 Million for Untimely Filing Certain Suspicious Activity Reports December 20, 2024
Category Archives: Regulation A+ Resource Center
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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President Trump: It’s High Time for a few More Tweets to SEC Chairman Jay Clayton
[Originally published in Crowdfund Insider on August 28, 2018] President Trump: It’s High Time for a few More Tweets to SEC Chairman Jay Clayton Any good litigator can tell you that the difference between success and failure is often the … Continue reading
Posted in Capital Raising, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments, Security Tokens/ICOs
Tagged Crowdfunding, crowdfunding attorney, Donald Trump, Guzik and Associates, Jay Clayto, JOBS Act, proposed SEC rules, Regulation A, Regulation A+ attorney, Regulation CF, regulation d, Rule 506, samuel guzik, sec
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Fixing the JOBS Act Beyond JOBS Act 3.0: Follow the Money
[Originally Published in Crowdfund Insider on July 25, 2018] Often repeated, but not always followed, is the advice: follow the money. Sometimes basic problems – and their solutions – are more readily understood (and solved) with this simple mantra. Effective … Continue reading
Posted in Capital Raising, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments
Tagged Crowdfunding, crowdfunding attorney, crowdfunding lawyer, JOBS Act, Regulation A Lawyer, Regulation A+ attorney, samuel guzik, sec
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SEC Regulation A+, ICOs and Small Business Capital Formation: For Whom the Bells Toll?
If the Wall Street Journal is any indicator, so called Regulation A+ offerings, which sprung to life in June 2015, courtesy of Title IV of the Jumpstart Our Business Startups Act of 2012 (the JOBS Act) and SEC rulemaking, are (or … Continue reading
Posted in Capital Raising, Corporate Governance, General, Regulation A+ Resource Center, SEC Developments
Tagged Crowdfunding, crowdfunding attorney
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Securities Attorney Samuel Guzik in the News – CFO.com
What’s Wrong with Crowdfunding? The JOBS Act was designed to help online capital formation. So far, the results have been disappointing. Vincent Ryan February 6, 2017 | CFO Magazine Raising $5 million, $10 million, even $50 million online seems irresistibly … Continue reading
Posted in Capital Raising, Crowdfunding, General, Regulation A+ Resource Center
Tagged Crowdfunding, crowdfunding attorney, crowdfunding lawyer, JOBS Act, Regulation A Lawyer, Regulation A+ attorney, samuel guzik, sec
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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
With the Jumpstart Our Business Startups (JOBS) Act having just reached its five year milestone, Regulation Crowdfunding hitting its one year milestone, and the two year anniversary of Regulation A(+) fast approaching, I thought this would be a good time … Continue reading
Posted in Capital Raising, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments
Tagged crowdfunding attorney, crowdfunding lawyer, IPO, Jay Clayton, JOBS Act, Regulation A, Regulation A Lawyer, Regulation A+ attorney, SAFE Securities, 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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Unstacking the Deck Against SME’s in Washington: A Call for an SEC Small Business Advocate
[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
Posted in Capital Raising, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments
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