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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: JOBS Act
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 Crowdfunding, CrowdfundingPlus, equity crowdfunding, Guzik and Associates, JOBS Act, proposed sec crowdfunding regulations, proposed sec crowdfunding rules, Regulation A, Rule 506, samuel guzik, SEC crowdfunding regulations
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Regulation A+: A Sleeping Giant For Small Business Capital Formation?
Since the 1930’s Regulation A has been unremarkable as a little known and little used “exemption” from the full SEC registration process – intended to allow smaller companies to access public markets through a streamlined SEC registration process – … Continue reading
Posted in Capital Raising, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments
Tagged Crowdfunding, Crowdfunding Plus, CrowdfundingPlus, Guzik and Associates, JOBS Act, NASAA, proposed SEC rules, Regulation A, samuel guzik, sec
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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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Samuel S. Guzik Publishes Second JOBS Act Article in The Harvard Law School Forum in 2014
Today’s edition of The Harvard Law School Forum on Corporate Governance and Financial Regulation features an article written by me, entitled “SEC Crowdfunding Rulemaking under the JOBS Act – An Opportunity Lost?” The article is an analysis of choices and … Continue reading
Posted in Capital Raising, Corporate Governance, Corporate Law, Crowdfunding, General, SEC Developments
Tagged Crowdfunding, CrowdfundingPlus, equity crowdfunding, investment crowdfunding, JOBS Act, proposed crowdfunding rules, proposed sec crowdfunding regulations, samuel guzik, SEC crowdfunding regulations
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Samuel Guzik Interviewed in Equities.com on SEC Regulation A+
Today’s issue of Equities.com features an interview with me, discussing issues and opportunities regarding the SEC’s proposed rules on Regulation A+. The article is entitled “Can Reg A Crowdfunding Displace the Smaller IPO.” The article addresses some practical issues companies … Continue reading
Posted in Capital Raising, Corporate Law, Crowdfunding, Regulation A+ Resource Center, SEC Developments
Tagged Crowdfunding, CrowdfundingPlus, JOBS Act, Regulation A, samuel guzik, sec
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Small Business v. State Blue Sky Regulation – Sunny Days Ahead in 2015?
Groundhog Day is celebrated annually on February 2. As folklore goes, if it is cloudy when a groundhog emerges from its hole on this day, Spring will come early; if it is sunny, the groundhog will see its shadow and … Continue reading
Posted in Business Formation, Capital Raising, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments
Tagged blue sky regulation, candace klein, Crowdfunding Plus, CrowdfundingPlus, equity crowdfunding, JOBS Act, NASAA, Ohio Securities Commission, proposed SEC rules, Regulation A, samuel guzik, sec, SoMoLend
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On Regulation A+, CrowdfundingPlus and JOBS Act 2.0
For those of you who have been following the regulatory labyrinth that has followed in the heels of the JOBS Act, the perpetual questions du jour have been: What ever happened to Title III investment crowdfunding? What ever happened to Regulation … Continue reading
Posted in Capital Raising, Corporate Governance, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments
Tagged blue sky regulation, Crowdfunding, CrowdfundingPlus, equity crowdfunding, Guzik and Associates, JOBS Act, proposed sec crowdfunding regulations, Regulation A, Samuel S. Guzik, sec, SEC proposed rules
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Dawn of a New Era: SEC Chair White Speaks to Small Business
In a speech delivered on January 27 by SEC Chair Mary Jo White at the 41st Annual Securities Regulation Institute in Coronado, California, entitled: “The SEC in 2014,” it appears that Chair White has “gotten the memo” from her predecessors, and is … Continue reading
Posted in Business Formation, Capital Raising, Corporate Law, Crowdfunding, General, SEC Developments
Tagged california securities attorney, crowdfunding attorney, crowdfunding lawyer, Crowdfunding Plus, CrowdfundingPlus, equity crowdfunding, Guzik and Associates, JOBS Act, proposed rules, proposed sec crowdfunding rules, proposed SEC rules, Regulation A, samuel guzik, SEC crowdfunding regulations, small business, Title III, Title IV
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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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THE SIX DEADLY SINS OF THE SEC’S PROPOSED CROWDFUNDING REGULATIONS – AND HOW TO MAKE THE SEC REPENT BEFORE IT IS TOO LATE
In a previous article I identified a number of serious problems with the SEC’s proposed crowdfunding regulations. I also promised readers to share my opinions on what can and should be done by crowdfunding supporters to fix the problems – … Continue reading
Posted in Business Formation, Capital Raising, Corporate Governance, Crowdfunding, General, SEC Developments, Uncategorized
Tagged accredited investors, california securities attorney, Crowdcheck, Crowdfunding, crowdfunding attorney, crowdfunding blog, crowdfunding lawyer, Dan Gallagher, equity crowdfunding, investment crowdfunding, JOBS Act, Kim Wales, Los Angeles securities attorney, Los Angeles Securities Lawyer, proposed crowdfunding rules, proposed rules, proposed sec crowdfunding regulations, proposed sec crowdfunding rules, proposed SEC rules, samuel guzik, sec, SEC crowdfunding regulations, securities attorney, securities lawyer
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