Category Archives: SEC Developments

Open Letter to the SEC: Please Don’t Hang Up on Small Business (And Please Don’t Put Small Business on Hold)

Posted on August 8, 2014 by Samuel Guzik

Some of you who read my July 2014 article entitled “Intrastate Crowdfunding at Risk -Has Intrastate Crowdfunding in Washington State Been Washed Out by NASAA and the SEC?” may have concluded that I was making a mountain out of a … Continue reading →

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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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MIT Panel Discussion: Can Crowdfunding Democratize Access to Capital?

Posted on June 3, 2014 by Samuel Guzik

Following is a Crowdfunding Roundtable I participated in at the MIT Sloan School of Business on May 19, 2014, which included my presentation on the SEC’s proposed Regulation A+: May 19 @ 1:00 pm – 2:00 pm Event Details The MIT Innovation … 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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Samuel Guzik Interviewed in Equities.com on SEC Regulation A+

Posted on March 7, 2014 by Samuel Guzik

Today’s issue of Equities.com features an interview with me, discussing issues and opportunities regarding the SEC’s proposed rules on Regulation A+.  The article is entitled “Can Reg A Crowdfunding Displace the Smaller IPO.” The article addresses some practical issues companies … 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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