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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: NASAA
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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The Misplaced Logic of Dodd-Frank: Protecting the Ordinary Investor by Redefining the Accredited Investor
Many of you are still reeling from the impact of the worldwide collapse of the financial markets in 2008. And most of us have rightfully observed that following one of the greatest debacles in financial history, no one has gone … Continue reading
Posted in Capital Raising, Corporate Law, General, SEC Developments
Tagged accredited investors, final SEC rules, FINRA, Guzik and Associates, Investor Advisory Committee, JOBS Act, NASAA, private placements, regulation d, Rule 506, samuel guzik, sec, securities attorney
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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 Crowdfunding, equity crowdfunding, general advertising, general solicitation, Georgia crowdfunding, intrastate crowdfunding legislation, Invest Georgia Exemption, Invest Kansas Exemption, JOBS Act, Joe Wallin, NASAA, proposed crowdfunding rules, proposed sec crowdfunding regulations, proposed SEC rules, public solicitation, Rick Fleming, samuel guzik, SEC crowdfunding regulations, state crowdfunding legislation, Washington State crowdfunding
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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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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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