Category Archives: SEC Developments

JOBS Act Crowdfunding Begins on May 16, 2016: Don’t Get Busted for Solicitation!

Posted on June 3, 2016 by Samuel Guzik

    It’s been five months or so since the SEC published its long awaited investment crowdfunding rules.  Though Congress dictated that this task be completed by the end of 2012, the SEC missed the mark by nearly three years.  … Continue reading →

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JOBS Act Title III Crowdfunding – A Trap for the Unwary?

Posted on June 2, 2016 by Samuel Guzik

A few weeks ago I wrote an article discussing one of the potential pitfalls – and weaknesses – in the SEC’s new Regulation CF, which became effective May 16, 2016, which allows private companies to raise up to $1 million … Continue reading →

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House of Representatives to SEC: Time to Lift Our Entrepreneurs Off the Floor!

Posted on February 2, 2016 by Samuel Guzik

Originally Published on Crowdfund Insider on February 1, 2016 – And as Tweeted by Mark Cuban to his 4.5 Million Twitter Followers on February 2 ] February 1, 2016 @ 9:30 pm By Samuel Guzik For those of you who … Continue reading →

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Forbes.com Regulation A+ Interview of Sam Guzik Ranks in YouTube 2015 Top Five Interviews

Posted on December 30, 2015 by Samuel Guzik

2015 was a busy year for me, with SEC final rulemaking completed for Regulation A+ and JOBS Act Title III crowdfunding. In addition to more than a dozen speaking engagements around the country I had the opportunity to participate in … Continue reading →

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SEC Staff Provides Early Guidance on Use of Regulation A+

Posted on June 24, 2015 by Samuel Guzik

  [As published on June 24, 2015 on CrowdfundInsider.com] On June 23, 2015, the Staff of the Securities and Exchange Commission provided some public guidance on certain issues arising under the new Regulation A+ Final Rules. In a new section … Continue reading →

Posted in Capital Raising, Corporate Governance, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments | 7 Comments

Regulation A+ Packs a “Punch” – So too Congress and Title III Crowdfunding

Posted on June 22, 2015 by Samuel Guzik

Regulation A+ Day 1: A Look Past the Mainstream Media Headlines And Regulation A+’s Forgotten Crowdfunding Cousin Quietly Comes to Life in Congress! [Reprinted with permission from CrowdfundInsider, June 22, 2015] Some History Lessons Though some may quibble over the … Continue reading →

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Regulation A+ CBS Podcast with Jay Abraham and Sam Guzik

Posted on June 18, 2015 by Samuel Guzik

Friday, June 19, 2015, is an historic day for both small business and federal securities regulation.  For the first time in over a century private early stage and more mature companies alike will be able to offer their securities to … Continue reading →

Posted in Capital Raising, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments, Uncategorized | 1 Comment

The State of Massachusetts vs. Regulation A+ — State Regulators Take the SEC to Court

Posted on May 26, 2015 by Samuel Guzik

 As you undoubtedly have heard, or will hear, the Commonwealth of Massachusetts via via its Secretary of State, William Galvin, filed a lawsuit against the SEC on Friday to block the implementation of SEC Final Rules implementing Regulation A+.  . Though … Continue reading →

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

Mark Your Calendars – Regulation A+ Goes Live on June 19, 2015

Posted on April 20, 2015 by Samuel Guzik

For those of you who have been following JOBS Act final rulemaking, Regulation A+, allowing companies to conduct an IPO up to $50 million at reduced initial and ongoing expense compared to a traditional IPO, today was another important milestone. … Continue reading →

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Regulation A+ IPO – Where Can My Company’s Securities Trade?

Posted on March 31, 2015 by Samuel Guzik

For those of you still trying to get  your arms around the SEC’s recently released Final Rules implementing Title IV of the JOBS Act, commonly known as Regulation A+, one of the most important areas for a company to consider … Continue reading →

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