Category Archives: SEC Developments

SEC Commissioner Daniel Gallagher Speaks to the SME Capital Ecosystem

Posted on March 30, 2015 by Samuel Guzik

There is a time to speak up – and a time to listen. Today is a time to listen – to SEC Commissioner Daniel Gallagher, who gave yet another major address at a gathering Friday at Vanderbilt Law School. The … Continue reading →

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Regulation A+ Interactive Webinar With Congressman David Schweikert, the Author of Regulation A+ – & Securities Attorney Samuel S. Guzik

Posted on March 27, 2015 by Samuel Guzik

For those of you interested in learning more about Regulation A+ from the Author of Title IV of the JOBS Act of 2012 (Regulation A+), please join Congressman David Schweikert and me in a live interactive Webinar being held on … Continue reading →

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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 →

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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 →

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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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The CNBC Crowdfinance 50 Index: When an Investor “Commitment” is Just a Kiss

Posted on February 19, 2015 by Samuel Guzik

In July 2013 the SEC implemented Title II of the JOBS Act of 2012 through Rule 506(c) of Regulation D, which for the first time in over 80 years allowed companies to engage in general solicitation of investors in an … Continue reading →

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Investment Crowdfunding in 2015: A Much Needed Thaw in the Regulatory Gridlock*

Posted on December 31, 2014 by Samuel Guzik

[Author’s Note: The below article was cited as authority by Jonathan Ortmans, Senior Fellow, in an article appearing on The Kauffmann Foundation Blog on January 5, 2015 http://bit.ly/1zPGC7u] For many focused on opening up new avenues of capital formation for … Continue reading →

Posted in Capital Raising, Corporate Governance, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments | Comments Off on Investment Crowdfunding in 2015: A Much Needed Thaw in the Regulatory Gridlock*