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 | Comments Off on Protected: Yes – There Actually Is Something Obscene About SEC Regulation A+ (Sort Of)

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

Posted in Uncategorized | Comments Off on An Upcoming Event for Private Companies to Explore Regulation A+ Financing Options

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 | Comments Off on JOBS Act Crowdfunding Begins on May 16, 2016: Don’t Get Busted for Solicitation!

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

Posted in Capital Raising, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments, Uncategorized | 1 Comment

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 | Comments Off on Regulation A+ IPO – Where Can My Company’s Securities Trade?

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

Posted in Capital Raising, Corporate Law, Crowdfunding, General, SEC Developments, Uncategorized | 1 Comment

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

Posted in Uncategorized | Comments Off on 2014 SEC Government – Small Business Forum: A Tale of Two Gatherings

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 , , , , , , , , , , , , , , , | 1 Comment

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 , , , , , , , , , , , , | Comments Off on Samuel Guzik Joins Congressman Patrick McHenry in SEC Regulation A Webinar on March 13

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 , , , , , , , , , , , , , , , , , , | Comments Off on Regulation A+ Offerings—A New Era at the SEC