Tag Archives: securities lawyer

THE SIX DEADLY SINS OF THE SEC’S PROPOSED CROWDFUNDING REGULATIONS – AND HOW TO MAKE THE SEC REPENT BEFORE IT IS TOO LATE

Posted on January 12, 2014 by Samuel Guzik

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 →

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On the Proposed SEC Regulations & Crowdfunding – A Postscript: Is SEC Commissioner Gallagher a Friend of the Crowd?

Posted on November 11, 2013 by Samuel Guzik

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 →

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ON THE PROPOSED SEC REGULATIONS AND CROWDFUNDING: LET’S GET IT RIGHT, CHAIRMAN WHITE

Posted on November 5, 2013 by Samuel Guzik

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 →

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Regulation (C)rowdfunding Day – The Morning After

Posted on October 25, 2013 by Samuel Guzik

 [Following is a reprint of an article written by me for my Legal Column,  The Crowdfunding Counselor™, on CrowdfundInsider, published on October 24, 2013] First in a Series of Articles Focusing on the Road Ahead to Final Rules and Beyond … Continue reading →

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The SEC Finally Convenes on Crowdfunding Rules – Open Meeting or Crowd Control?

Posted on October 23, 2013 by Samuel Guzik

 [Following is a reprint of an article written by me for my Legal Column, The Crowdfunding Counselor™, on CrowdfundInsider, published on October 22, 2013] It had been more than 18 months since President Obama signed into law the multi-faceted potpourri … Continue reading →

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Securities Attorney Samuel Guzik Announces Regular Legal Column for Crowdfund Insider – The Crowdfunding Counselor™

Posted on October 22, 2013 by Samuel Guzik

As previously reported on CrowdfundInsider.com, I will be authoring a column on its behalf, The Crowdfunding Counselor™, dedicated to discussing legal issues of importance to those committed to advancing capital formation for small businesses and startups alike flowing from the … Continue reading →

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SEC Regulation D and Rule 506 – Speak Now or Forever Hold Your Peace

Posted on September 12, 2013 by Samuel Guzik

On July 10, 2013, the SEC issued proposed rules to amend Regulation D.  The rules, if adopted, would place significant conditions on the use of new Rule 506(c) promulgated under the JOBS Act. Rule 506(c), as will be in effect … Continue reading →

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Equity Crowdfunding and The Road Not Taken – What Congress Could Learn From Kansas

Posted on August 6, 2013 by Samuel Guzik

It’s pretty easy to make a case against equity crowdfunding: Startups are risky investments – most will fail, and investors will lose their money. Crowdfunding will be a magnet for fraud, drawing phony and exaggerated investment schemes. The goal of … Continue reading →

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Equity Crowdfunding – The Road Ahead at the SEC and Beyond

Posted on July 25, 2013 by Samuel Guzik

Equity crowdfunding, hoped by many to be a promising new vehicle for capital formation for startups and other early stage companies, has yet to become operational under the JOBS Act – waiting on the SEC to promulgate proposed and final … Continue reading →

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Final and Proposed SEC Rules Allowing General Solicitation are Out – Crowdfunding Rules for Non-Accredited Investors to Follow-And So Too Should Caution

Posted on July 19, 2013 by Samuel Guzik

On July 10, 2013, the SEC released final SEC rules, effective in September 2013, which will allow general solicitation and advertising in unregistered debt and equity offerings so long as all of the purchasers are accredited investors and the issuer … Continue reading →

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