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Latest SEC News- SEC Announces Enforcement Results for Fiscal Year 2024 November 22, 2024
- SEC Charges Three Broker-Dealers with Filing Deficient Suspicious Activity Reports November 22, 2024
- UPS to Pay $45 Million Penalty for Improperly Valuing Business Unit November 22, 2024
- SEC Charges Advisory Firm La Mancha and its Owner David Kushner with Fraud November 21, 2024
- SEC Chair Gensler to Depart Agency on January 20 November 21, 2024
Tag Archives: Regulation A
Blockchain and Security Tokens (a/k/a Digital Securities): A Securities Lawyer’s View from the 2018 Los Angeles Crypto Invest Summit
As a securities attorney, when I attend a conference in a rapidly developing area, I come with my own prejudices and beliefs, but with an open mind and open ears – to hear, digest and discuss the latest developments and thinking. The … Continue reading
Posted in Capital Raising, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments, Security Tokens/ICOs
Tagged blockchain, crowd invest summit, cryptocurrency, digital securities, ICO, Regulation A, Regulation A Lawyer, Regulation A+ attorney, sec, security token attorney, security token lawyer, security tokens, STO, STO attorney, STO lawyer
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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
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The JOBS Act Turns Five, Regulation A+ Turns Two, Regulation Crowdfunding Turns One: What Should Be Next on the SEC Chair Jay Clayton’s Agenda
With the Jumpstart Our Business Startups (JOBS) Act having just reached its five year milestone, Regulation Crowdfunding hitting its one year milestone, and the two year anniversary of Regulation A(+) fast approaching, I thought this would be a good time … Continue reading
Posted in Capital Raising, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments
Tagged crowdfunding attorney, crowdfunding lawyer, IPO, Jay Clayton, JOBS Act, Regulation A, Regulation A Lawyer, Regulation A+ attorney, SAFE Securities, samuel guzik, sec, Small Business Advocate
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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 cannabis stocks, Crowdfunding, crowdunding, Donald Trump, fix crowdfunding act, HR 3784, JOBS Act, Med-X, Paul Atkins, Regulation A, Regulation A+ attorney, Regulation A+ lawyer. Samuel Guzik, sec, SEC Small Business Advocate
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SEC Issues Regulation A+ White Paper – What’s Working?
There has been a great deal of hyperbole and misinformation surrounding the use of the new SEC Regulation A+, which allows a private U.S. company to issue freely tradeable shares to the general public. A new White Paper recently released … Continue reading
Posted in Capital Raising, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments
Tagged Regulatiion A Attorney, Regulation A, Regulation A Lawyer, Regulation A Plus, Sam Guzik, samuel guzik, sec, White Paper
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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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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 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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