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Regulation A+ Offerings

  • Raise up to $75M Annually

  • Public Promotion of the Offering Allowed

  • Entire Investing Public Can Invest

  • Public Offering Investor Acquisition Capabilities

Frequently called a “mini-IPO” – the Regulation A+ program provides the capability for issuers to engage in general advertising and solicitation of the offering and allows accredited and non-accredited investors to participate.

A Regulation A+ offering is the most sophisticated private securities offering a company can execute and provides the investor acquisition capabilities of a public offering with a more streamlined and cost effective preparation process. Regulation A also has unique benefits such as freely-trading securities and the “selling securityholder” feature that allows existing equity holders in the issuer company to sell securities through the Regulation A+ offering.

  • Legal guidance on entity structure, offering structure, and setting of applicable offering terms;
  • Legal guidance on Federal securities rules and regulations as they pertain to the Regulation A exemption;
  • Drafting of the Form 1-A and necessary Exhibits;
  • EDGAR submission of Form 1-A and Exhibits with the SEC;
  • Filing of one set of SEC comment response and amendment (additional comment responses billed hourly);
  • Access to Red Rock Securities Law eco-system of administrative FINRA broker-dealers, transfer agents, escrow providers, and CPA’s;
  • Access to our exclusive 800-firm FINRA retail broker-dealer database available to Regulation A+ clients;
  • Build and deployment of a Regulation A+ Investor Web Portal integrated with transfer agent and payment processing systems (Reg A+ Investor Web Portal build provided by affiliate Red Rock Investor Technology Inc. and is included in the Offering Preparation flat fee)
  • Flat fee offering preparation
  • Flat fee structure for Regulation A+ offering preparation services eliminates budget concerns related to unforeseen offering preparation costs.
  • Highly-experienced staff including securities and corporate attorneys, EDGAR filing specialists, and Investor Web Portal build team through our affiliate Red Rock Investor Technology Inc.
  • Custom Regulation A+ Investor Web Portal website build that will engage investor prospects and integrate with transfer agent systems for automated subscription processing and cap table management.
  • In-house EDGAR filing services (included in the flat fee) eliminates filer agent fees for the issuer’s Regulation A+ submissions.
  • Access to Red Rock Securities Law eco-system of administrative FINRA broker-dealers, transfer agents, escrow providers and auditors.
  • Access to our exclusive 800-firm FINRA retail broker-dealer database available to Regulation A+ clients.
  • Comprehensive services with a “quarterback” approach to managing the process and coordinating vendors that reduces time, effort, and stress for the client.
    Optional services for completion and filing of periodic report filings.
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