Tag Archives: sec

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

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A PRIMER FOR DUMMIES – BLOCKCHAIN, ICOs and STOs

Beyond the Hype of ICOs and STOs One can hardly read anything these days without at least a passing reference to “blockchain” and how it has the potential to change the world.  As  a securities lawyer my interest has been … Continue reading

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Fixing the JOBS Act Beyond JOBS Act 3.0: Follow the Money

[Originally Published in Crowdfund Insider on July 25, 2018] Often repeated, but not always followed, is the advice: follow the money. Sometimes basic problems – and their solutions – are more readily understood (and solved) with this simple mantra. Effective … Continue reading

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The SEC, the ICO and Avoiding the ICU: A Call for Leadership and Action

  [Originally Published in Crowdfund Insider on November 6, 2017] As a securities lawyer and a sometimes advocate for smart regulation of capital formation, I must confess: When it comes to addressing the current state of the Initial Coin Offering … Continue reading

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Securities Attorney Samuel Guzik in the News – CFO.com

What’s Wrong with Crowdfunding? The JOBS Act was designed to help online capital formation. So far, the results have been disappointing. Vincent Ryan February 6, 2017 | CFO Magazine Raising $5 million, $10 million, even $50 million online seems irresistibly … Continue reading

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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

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SEC Office of Small Business Advocate – One of Top 10 Fintech News Events in 2016

I am proud to be a part of one of the Top 10 Fintech News Events of 2016 – HR 3784 – SEC Office of Small Business Advocate: Top Fintech Stories from Crowdfund Insider during 2016 December 30, 2016 @ … Continue reading

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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

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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

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Congress Passes H.R. 3784 SEC Office of Small Business Advocate Bill

[Author’s Note: HR 3784 was signed into law by President Barack Obama on December 16, 2016. For an update on this historic legislation, see my most recent article appearing on this Blog.] Most of us were probably sleeping last night … Continue reading

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