Welcome to the Client Resource Center for Regulation D Resources.
We would like to thank you for becoming a Client of our Company.

Outlined below is a summary of the steps involved in the preparation of your offering:

  1. You will receive a welcome e-mail from our company with general information on getting started with our firm, staff assignments, the principal assigned to your file, and our New Client Questionnaire (“NCQ”) attached. We will initially schedule a call with the client to discuss the NCQ and key offering decision items.  The client can then fully complete the questionnaire and e-mail this document back to your principal and underwriter along with any supporting documentation you may have (business plan, financials, etc.) available. Please be aware of the format we require the information.
  2. PPM and Offering Document Drafting: The next step is drafting your offering documents. Please note that we do not draft certain internal corporate documents such as bylaws, operating agreements, and limited partnership agreements. Several drafts will be provided to you as the drafting process progresses. We typically have a consulting call after each draft to discuss data, decision items, and any needed additional detail or exhibits. Detailed, professionally prepared content regarding your company and its planned operations will assist in completing this phase of the offering process more efficiently. From receipt of the information needed and the NCQ data to a first draft is typically 10 business days but can be shorter, or longer, depending on current volume and transaction complexity.
  3. Form D Filing: The next phase of the process is getting your Federal Form D Filing in place. As we near completion of the PPM document, the Client can choose “Federal Filing” from the main menu for instructions on creating your EDGAR account and completing the filing. We will then review the filing for accuracy.
  4. State Filings: As the offering is promoted you may obtain information on the required State filings from the respective State regulators office. Choose “State Filings” from the main menu for information on this part of the process.
  5. Review the rules: Below is a link to the SEC’s website that will provide information on the rules that pertain to the execution of your Reg D offering. Note the Client is responsible for executing the offering in compliance with applicable State and Federal regulations: http://www.sec.gov/answers/regd.htm  Also – review the rules for promotion of the Offering in the “Marketing” area.
  6. Promotion of your Offering: We provide access to certain resources for the promotion of your offering. These resources are located in the “Marketing” section of this resource center. Note you will not have access to the “Marketing” section until we have completed preparation of your offering documents and the second installment payment for our Services has been remitted.

Please note – your utilization of the services and resources provided herein is subject to the terms of our Services Agreement. Your use of the Service constitutes and confirms your agreement and acceptance to the terms of our Services Agreement.

We appreciate your business!


The Regulation D Resources Staff

Contact us with questions or to schedule a call with one of our representatives: