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Latest SEC News- SEC Charges Ken Leech, Former Co-Chief Investment Officer of Western Asset Management Co., with Fraud November 25, 2024
- SEC Announces Enforcement Results for Fiscal Year 2024 November 22, 2024
- SEC Charges Three Broker-Dealers with Filing Deficient Suspicious Activity Reports November 22, 2024
- UPS to Pay $45 Million Penalty for Improperly Valuing Business Unit November 22, 2024
- SEC Charges Advisory Firm La Mancha and its Owner David Kushner with Fraud November 21, 2024
Category Archives: SEC Developments
Preparing for (Regulation) D-Day – September 23, 2013
“The better part of valor is discretion, in the which better part I have sav’d my life.” Henry the Fourth, William Shakespeare, Part I, Act 5, scene 4. * * * * * As featured in CrowdfundInsider on September 17, … Continue reading
Posted in Capital Raising, Corporate Law, Crowdfunding, General, SEC Developments
Tagged accredited investors, advertising, candace klein, Crowdfunding, ellenoff grossman and schole, final SEC rules, general soliciitation, JOBS Act, Ohio Division of Securities, private placements, regulation d, Rule 506, samuel guzik, SoMoLend
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SEC Regulation D and Rule 506 – Speak Now or Forever Hold Your Peace
On July 10, 2013, the SEC issued proposed rules to amend Regulation D. The rules, if adopted, would place significant conditions on the use of new Rule 506(c) promulgated under the JOBS Act. Rule 506(c), as will be in effect … Continue reading
Posted in Capital Raising, Corporate Law, Crowdfunding, General, SEC Developments
Tagged accredited investors, california securities attorney, crowdfunding attorney, crowdfunding lawyer, equity crowdfunding, Forbes, Form D, general advertising, general solicitation, Guzik and Associates, JOBS Act, private placements, proposed SEC rules, Rule 506, samuel guzik, sec, SEC crowdfunding regulations, SEC lawyer, securities attorney, securities lawyer
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Equity Crowdfunding and The Road Not Taken – What Congress Could Learn From Kansas
It’s pretty easy to make a case against equity crowdfunding: Startups are risky investments – most will fail, and investors will lose their money. Crowdfunding will be a magnet for fraud, drawing phony and exaggerated investment schemes. The goal of … Continue reading
Posted in Business Formation, Capital Raising, Corporate Law, Crowdfunding, General, SEC Developments
Tagged california securities attorney, crowdfunding attorney, crowdfunding blog, crowdfunding lawyer, equity crowdfunding, final SEC rules, general solicitation, Guzik and Associates, IKE, Invest Kansas Exemption, JOBS Act, New York Times, private placements, proposed SEC rules, regulation d, sec, SEC crowdfunding regulations, SEC lawyer, securities attorney, securities lawyer
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Equity Crowdfunding – The Road Ahead at the SEC and Beyond
Equity crowdfunding, hoped by many to be a promising new vehicle for capital formation for startups and other early stage companies, has yet to become operational under the JOBS Act – waiting on the SEC to promulgate proposed and final … Continue reading
Posted in Business Formation, Capital Raising, Corporate Law, Crowdfunding, General, SEC Developments
Tagged accredited investors, california securities attorney, Crowdcheck, crowdfunding attorney, crowdfunding blog, crowdfunding lawyer, equity crowdfunding, final SEC rules, Guzik and Associates, JOBS Act, private placements, proposed SEC rules, regulation d, SEC crowdfunding regulations, SEC lawyer, securities attorney, securities lawyer, startups
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Final and Proposed SEC Rules Allowing General Solicitation are Out – Crowdfunding Rules for Non-Accredited Investors to Follow-And So Too Should Caution
On July 10, 2013, the SEC released final SEC rules, effective in September 2013, which will allow general solicitation and advertising in unregistered debt and equity offerings so long as all of the purchasers are accredited investors and the issuer … Continue reading
Posted in Capital Raising, Corporate Law, Crowdfunding, General, SEC Developments
Tagged accredited investors, california securities attorney, crowdfunding attorney, crowdfunding lawyer, equity crowdfunding, Forbes, Form D, general advertising, general solicitation, Guzik and Associates, JOBS Act, private placements, proposed SEC rules, Rule 506, samuel guzik, sec, SEC crowdfunding regulations, SEC lawyer, securities attorney, securities lawyer, SeedInvest
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SEC Issues Final JOBS Act Regulations Allowing Public Solicitation of Investors in Private Placements Under Rule 506 of Regulation D; New Proposed Regulations Regulating Rule 506 Private Placements Also Issued for Public Comment on July 10, 2013
On April 5, 2012, President Obama signed into law the Jumpstart Our Business Startups Act (JOBS Act), making sweeping changes to federal laws regulating capital formation. One of the more significant changes to existing law was a directive to the … Continue reading
Posted in Business Formation, Capital Raising, Corporate Governance, Corporate Law, Crowdfunding, General, SEC Developments
Tagged accredited investors, california securities attorney, crowdfunding attorney, crowdfunding lawyer, equity crowdfunding, final rules, final SEC rules, general advertising, general solicitation, Guzik and Associates, JOBS Act, LegalZoom, private placements, proposed rules, proposed SEC rules, public advertising, public solicitation, regulation d, Rule 506, samuel guzik, sec, SEC attorney, SEC crowdfunding regulations, SEC lawyer, securities attorney, securities lawyer, startup attorney, startup lawyer
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Startup Business Lawyer or Legal Self-Help?
You finally have your management team and your business plan in hand. You are ready to launch your startup business after months of analysis and planning. Funds are limited, so you go onto the Internet to find the quickest and … Continue reading
Posted in Business Formation, Capital Raising, Corporate Governance, Corporate Law, Crowdfunding, General, SEC Developments
Tagged equity crowdfunding, general advertising, general solicitation, Guzik and Associates, LegalZoom, RocketLawyer, samuel guzik, sec, SEC crowdfunding regulations, SEC lawyer, securities attorney, securities lawyer, startup attorney, startup lawyer
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Equity Crowdfunding – Google and the Venture Capitalists Are Taking Notice
While the wait continues for SEC regulations for equity crowdfunding under the JOBS Act, Google and the Venture Capitalists are getting their foot in the door with crowdfunding portals targeting accredited investors. Continue reading
Posted in Business Formation, Capital Raising, Corporate Law, Crowdfunding, SEC Developments
Tagged accredited investors, CircleUp, crowdfunding attorney, crowdfunding lawyer, equity crowdfunding, final rules, final SEC rules, general advertising, Guzik and Associates, JOBS Act, private placements, proposed SEC rules, public advertising, public solicitation, regulation d, Rule 506, samuel guzik, sec, SEC crowdfunding regulations, SEC lawyer, securities attorney, securities lawyer, startup attorney, startup lawyer
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SEC Issues Proposed JOBS Act Regulations for Private Placements Under Rule 506 of Regulation D
On April 5, 2012, President Obama signed into law the Jumpstart Our Business Startups Act (JOBS Act), making sweeping changes to federal laws regulating capital formation. One of the more significant changes to existing law was a directive to the … Continue reading
Posted in Capital Raising, Corporate Law, Crowdfunding, General, SEC Developments
Tagged accredited investors, crowdfunding attorney, crowdfunding lawyer, equity crowdfunding, final rules, final SEC rules, general advertising, general solicitation, Guzik and Associates, JOBS Act, private placements, proposed SEC rules, public advertising, public solicitation, regulation d, Rule 506, samuel guzik, sec, SEC crowdfunding regulations, securities attorney, securities lawyer, startup lawyer
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The JOBS Act – Act 2: The Wait for SEC Regulations Continues
As I previously reported, on April 5, 2012, President Obama signed into law the Jumpstart Our Business Startups Act (JOBS Act), making sweeping changes to federal laws regulating capital formation, and dramatically enhancing the ability of start-ups, emerging private businesses and … Continue reading
Posted in Capital Raising, Corporate Law, Crowdfunding, General, SEC Developments
Tagged accredited investors, equity crowdfunding, general advertising, general solicitation, Guzik and Associates, JOBS Act, private placements, proposed SEC rules, public advertising, public solicitation, Rule 506, samuel guzik, SEC crowdfunding regulations, securities attorney, securities lawyer
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