-
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: proposed SEC rules
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 Crowdfunding, crowdfunding attorney, Donald Trump, Guzik and Associates, Jay Clayto, JOBS Act, proposed SEC rules, Regulation A, Regulation A+ attorney, Regulation CF, regulation d, Rule 506, samuel guzik, sec
Comments Off on President Trump: It’s High Time for a few More Tweets to SEC Chairman Jay Clayton
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
Comments Off on Intrastate Crowdfunding at Risk
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
Comments Off on Regulation A+: A Sleeping Giant For Small Business Capital Formation?
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
Comments Off on Samuel Guzik Joins Congressman Patrick McHenry in SEC Regulation A Webinar on March 13
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
Comments Off on Small Business v. State Blue Sky Regulation – Sunny Days Ahead in 2015?
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
Comments Off on Dawn of a New Era: SEC Chair White Speaks to Small Business
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
Comments Off on Regulation A+ Offerings—A New Era at the SEC
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
Comments Off on THE SIX DEADLY SINS OF THE SEC’S PROPOSED CROWDFUNDING REGULATIONS – AND HOW TO MAKE THE SEC REPENT BEFORE IT IS TOO LATE
On the Proposed SEC Regulations & Crowdfunding – A Postscript: Is SEC Commissioner Gallagher a Friend of the Crowd?
Behind the unanimous vote that accompanied the SEC’s issuance of proposed crowdfunding regulations on October 23, 2013, I sensed that there was more afoot behind the congenial surface. It seemed unlikely to this Commission observer that the sharp divisions amongst … Continue reading
Posted in Business Formation, Capital Raising, Corporate Governance, Corporate Law, Crowdfunding, General, SEC Developments
Tagged accredited investors, california securities attorney, Crowdcheck, Crowdfunding, crowdfunding attorney, crowdfunding blog, crowdfunding lawyer, Dan Gallagher, equity crowdfunding, JOBS Act, 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
Comments Off on On the Proposed SEC Regulations & Crowdfunding – A Postscript: Is SEC Commissioner Gallagher a Friend of the Crowd?
ON THE PROPOSED SEC REGULATIONS AND CROWDFUNDING: LET’S GET IT RIGHT, CHAIRMAN WHITE
There was an air of euphoria in the crowdfunding community on October 23 when the U.S. Securities and Exchange Commission finally issued its proposed crowdfunding rules – a necessary step to implement equity crowdfunding, as dictated by Congress in the … Continue reading
Posted in Capital Raising, Corporate Governance, Corporate Law, Crowdfunding, General, SEC Developments
Tagged accredited investors, california securities attorney, Crowdcheck, Crowdfunding, crowdfunding attorney, crowdfunding blog, crowdfunding lawyer, equity crowdfunding, JOBS Act, 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
Comments Off on ON THE PROPOSED SEC REGULATIONS AND CROWDFUNDING: LET’S GET IT RIGHT, CHAIRMAN WHITE