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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: Security Tokens/ICOs
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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The SEC and Regulated ICOs: Be Careful What You Wish For
[Originally Published in Crowdfund Insider on November 12, 2017] Man Proposes and God Disposes On November 8, at an Annual New York City gathering of securities professionals, SEC Chair Jay Clayton went off script – and in doing so provided what … Continue reading
Posted in Capital Raising, Corporate Governance, Corporate Law, General, SEC Developments, Security Tokens/ICOs
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The SEC, the ICO and Avoiding the ICU: A Call for Leadership and Action
[Originally Published in Crowdfund Insider on November 6, 2017] As a securities lawyer and a sometimes advocate for smart regulation of capital formation, I must confess: When it comes to addressing the current state of the Initial Coin Offering … Continue reading
Posted in Capital Raising, Corporate Governance, Crowdfunding, General, SEC Developments, Security Tokens/ICOs
Tagged Crowdfunding, crowdfunding attorney, crowdfunding lawyer, ICO, Initial Coin Offering, JOBS Act, Regulation A Lawyer, Regulation A+ attorney, samuel guzik, sec
Comments Off on The SEC, the ICO and Avoiding the ICU: A Call for Leadership and Action