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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
Tag Archives: Guzik and Associates
Regulation (C)rowdfunding Day – The Morning After
[Following is a reprint of an article written by me for my Legal Column, The Crowdfunding Counselor™, on CrowdfundInsider, published on October 24, 2013] First in a Series of Articles Focusing on the Road Ahead to Final Rules and Beyond … Continue reading
Posted in Business Formation, Capital Raising, Corporate Law, Crowdfunding, General, Uncategorized
Tagged accredited investors, california securities attorney, Crowdfunding, crowdfunding attorney, crowdfunding lawyer, equity crowdfunding, final SEC rules, Guzik and Associates, investment crowdfunding, JOBS Act, proposed sec crowdfunding regulations, proposed sec crowdfunding rules, proposed SEC rules, samuel guzik, sec, SEC crowdfunding regulations, SEC lawyer, securities attorney, securities lawyer, The Crowdfunding Counselor
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The SEC Finally Convenes on Crowdfunding Rules – Open Meeting or Crowd Control?
[Following is a reprint of an article written by me for my Legal Column, The Crowdfunding Counselor™, on CrowdfundInsider, published on October 22, 2013] It had been more than 18 months since President Obama signed into law the multi-faceted potpourri … Continue reading
Posted in Capital Raising, Corporate Law, Crowdfunding, General, SEC Developments
Tagged accredited investors, california securities attorney, crowdfunding attorney, crowdfunding lawyer, crowdfundinsider, equity crowdfunding, Georgia Levenson Keohane, Guzik and Associates, JOBS Act, proposed crowdfunding rules, proposed SEC rules, Roosevelt Institute, samuel guzik, sec, SEC crowdfunding regulations, securities attorney, securities lawyer, The Crowdfunding Counselor
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SEC Extends Comment Period for JOBS Act Rule 506 Proposed Rulemaking – Is the SEC About to Pivot?
September 23, 2013 kicked off an historic period in federal securities laws. For the first time in 80 years companies would be allowed to publicly solicit investors in unregistered private placements so long as all of the investors were accredited. … Continue reading
Posted in Capital Raising, Corporate Governance, Corporate Law, Crowdfunding, General, SEC Developments
Tagged accredited investors, Congressman Patrick McHenry, crowdfundinsider, equity crowdfunding, final SEC rules, Form D, general solicitation, Guzik and Associates, JOBS Act, Milken Institute, private placements, proposed rules, proposed SEC rules, regulation d, Rule 506, samuel guzik, SBA office of Advocacy
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IT’S THE JOBS ACT, STUPID!
Still Time to Comment on SEC’s Proposed Regulation D General Solicitation Rules? On July 10, 2013, the SEC issued its final rules allowing general solicitation and advertising in unregistered private placements, provided all of the investors were accredited, effective September … Continue reading
Posted in Capital Raising, Corporate Law, Crowdfunding, General, SEC Developments
Tagged accredited investors, final SEC rules, general advertising, general solicitation, Guzik and Associates, JOBS Act, Office of Advocacy, Patrick McHenry, private placements, proposed SEC rules, public solicitation, regulation d, Rule 506, samuel guzik, SBA, sec
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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 in Wisconsin – The Bucks Start Here
Wisconsin today became the fifth state to introduce state legislation which, if enacted, would allow equity crowdfunding targeted at both accredited and unaccredited investors. Two states, Kansas and Georgia, have already implemented laws and regulations which allow equity crowdfunding to … Continue reading
Posted in Capital Raising, Corporate Law, Crowdfunding, General
Tagged accredited investors, crowdfunding attorney, crowdfunding lawyer, equity crowdfunding, general solicitation, Guzik and Associates, Invest Georgia Exemption, Invest Kansas Exemption, investment crowdfunding, JOBS Act, proposed SEC rules, public advertising, public solicitation, samuel guzik, SEC crowdfunding regulations, unaccredited investors, Wisconsin crowdfunding legislation
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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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