Tag Archives: Crowdfunding

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 , , , , , , , , , , , , , | Comments Off on President Trump: It’s High Time for a few More Tweets to SEC Chairman Jay Clayton

Fixing the JOBS Act Beyond JOBS Act 3.0: Follow the Money

[Originally Published in Crowdfund Insider on July 25, 2018] Often repeated, but not always followed, is the advice: follow the money. Sometimes basic problems – and their solutions – are more readily understood (and solved) with this simple mantra. Effective … Continue reading

Posted in Capital Raising, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments | Tagged , , , , , , , | Comments Off on Fixing the JOBS Act Beyond JOBS Act 3.0: Follow the Money

SEC Regulation A+, ICOs and Small Business Capital Formation: For Whom the Bells Toll?

[Originally Published in Crowdfund Insider on May 30, 2018] If the Wall Street Journal is any indicator, so called Regulation A+ offerings, which sprung to life in June 2015, courtesy of Title IV of the Jumpstart Our Business Startups Act … Continue reading

Posted in Capital Raising, Corporate Governance, General, Regulation A+ Resource Center, SEC Developments | Tagged , | Comments Off on SEC Regulation A+, ICOs and Small Business Capital Formation: For Whom the Bells Toll?

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 , , , , , , , , , | Comments Off on The SEC, the ICO and Avoiding the ICU: A Call for Leadership and Action

Securities Attorney Samuel Guzik in the News – CFO.com

What’s Wrong with Crowdfunding? The JOBS Act was designed to help online capital formation. So far, the results have been disappointing. Vincent Ryan February 6, 2017 | CFO Magazine Raising $5 million, $10 million, even $50 million online seems irresistibly … Continue reading

Posted in Capital Raising, Crowdfunding, General, Regulation A+ Resource Center | Tagged , , , , , , , | Comments Off on Securities Attorney Samuel Guzik in the News – CFO.com

Why I am “High” on the Prospects for SME’s in 2017

The beginning of a new year is typically accompanied by renewed hope and positive expectations. 2017 is no exception.  As a staunch advocate of promoting the interests of small business generally, and smart regulation of capital formation, in particular, 2017 … Continue reading

Posted in Capital Raising, Corporate Governance, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments | Tagged , , , , , , , , , , , , , | Comments Off on Why I am “High” on the Prospects for SME’s in 2017

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

Intrastate Crowdfunding at Risk

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

Posted in Capital Raising, Corporate Law, Crowdfunding, General, SEC Developments | Tagged , , , , , , , , , , , , , , , , , , , | Comments Off on Intrastate Crowdfunding at Risk

JOBS Act 2.0: Congressman McHenry’s Cure for the “Six Deadly Sins” of Crowdfunding Regulation

  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

Posted in Corporate Law, Crowdfunding, General, SEC Developments | Tagged , , , , , , , , , , , | Comments Off on JOBS Act 2.0: Congressman McHenry’s Cure for the “Six Deadly Sins” of Crowdfunding Regulation

MIT Panel Discussion: Can Crowdfunding Democratize Access to Capital?

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

Posted in Capital Raising, Corporate Law, Crowdfunding, SEC Developments | Tagged , , , , , , , , , , | Comments Off on MIT Panel Discussion: Can Crowdfunding Democratize Access to Capital?