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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: Uncategorized
Protected: Yes – There Actually Is Something Obscene About SEC Regulation A+ (Sort Of)
There is no excerpt because this is a protected post.
Posted in Capital Raising, General, Regulation A+ Resource Center, Uncategorized
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An Upcoming Event for Private Companies to Explore Regulation A+ Financing Options
Though I regularly speak at national alternative finance events it has not been my custom or practice to independently publicize these events. So today being Columbus Day, an historic event marking the voyage of Christopher Columbus toward new horizons, I … Continue reading
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JOBS Act Crowdfunding Begins on May 16, 2016: Don’t Get Busted for Solicitation!
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
Posted in Capital Raising, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments, Uncategorized
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Regulation A+ CBS Podcast with Jay Abraham and Sam 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
Regulation A+ IPO – Where Can My Company’s Securities Trade?
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
Posted in Capital Raising, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments, Uncategorized
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On the JOBS Act, Market Transparency and the Search for Truth: A Lesson in Financial Market History & Current Events
“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
2014 SEC Government – Small Business Forum: A Tale of Two Gatherings
For those of you who have been reading my articles over the past four months, I have tried to create heightened awareness of a perennial SEC event, the SEC Government-Small Business Forum, an annual event borne out of bi-partisan legislation … Continue reading
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Open Letter to the SEC: Please Don’t Hang Up on Small Business (And Please Don’t Put Small Business on Hold)
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
Posted in Capital Raising, Corporate Law, Crowdfunding, General, SEC Developments, Uncategorized
Tagged accredited investors, Crowdfunding, Crowdfunding Plus, CrowdfundingPlus, final SEC rules, Guzik and Associates, intrastate crowdfunding, Invest Kansas Exemption, JOBS Act, NASAA, Patrick McHenry, proposed crowdfunding rules, proposed sec crowdfunding regulations, Regulation A, Rule 506, samuel guzik
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Samuel Guzik Joins Congressman Patrick McHenry in SEC Regulation A Webinar on March 13
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
Posted in Capital Raising, Crowdfunding, General, SEC Developments, Uncategorized
Tagged Crowdfunding, Crowdfunding Plus, CrowdfundingPlus, Guzik and Associates, IPO, JOBS Act, Patrick McHenry, proposed SEC rules, Regulation A, Samuel S. Guzik, sec, SEC proposed rules, securities attorney
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Regulation A+ Offerings—A New Era at the SEC
[ORIGINALLY PUBLISHED IN THE HARVARD LAW SCHOOL FORUM ON CORPORATE GOVERNANCE AND FINANCIAL REGULATION ON JANUARY 15 2014] December 18, 2013 may well mark an historic turning point in the ability of small business to effectively access capital in the private … Continue reading
Posted in Capital Raising, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments, Uncategorized
Tagged accredited investors, california securities attorney, Crowdfunding, Crowdfunding Plus, CrowdfundingPlus, final SEC rules, Guzik and Associates, Harvard Law School Forum on Corporate Governance, JOBS Act, Los Angeles securities attorney, Los Angeles Securities Lawyer, proposed SEC rules, Regulation A, Regulation A Plus, samuel guzik, sec, securities attorney, The Crowdfunding Counselor, Title IV
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