regulation d services
Regulation D Offerings are an excellent choice for companies seeking to raise capital through an offering that does not require SEC qualification. Most Regulation D Offerings are 506(c) exempt offerings that allow general solicitation but limit investment only to accredited investors. We also prepare traditional private placements under Regulation D 506(b) or 504, but these exemptions are less popular because they do not allow general solicitation to the public.
Regulation D Offering Preparation Services - Offering Preparation and Regulation D Investor Web Portal Website Builds
Red Rock Securities Law provides a full suite of services for the preparation of a Regulation D exempt offerings along with additional legal services including entity formations, governance document drafting, and related legal work as required by our clients. Further, most Regulation D clients also have a Regulation D Investor Web Portal build completed by our affiliate company, Red Rock Investor Technology Inc., to assist in the administration and management the securities offering. The Investor Web Portal will engage investor prospects, administer the offering, and take investors through all subscription processes.
Regulation D Investor Web Portal Build (Optional Service) - Red Rock Investor Technology Inc.
Clients may also choose to have a Regulation D Offering Investor Web Portal Build completed. All Investor Web Portal Builds are completed through our affiliate Red Rock Investor Technology Inc.
Red Rock Investor Technology’s Investor Web Portal includes the following features:
- Custom front-end investor engagement website;
- Back-end software build using Red Rock Investor Technology’s proprietary software for management of the offering;
- Back-end software system will track investor access to all offering disclosure documents;
- Provides an “Invest” feature that guides the investor through all subscription processes;
- Able to archive all relevant subscription documents;
- Provides an investor relations solution for managing on-boarded investors;
- Provides offering administration functions.
Regulation D Offering Preparation Services:
- Guidance on entity structure, offering structure, and setting of applicable offering terms;
- Guidance on Federal securities rules and regulations as they pertain to the Regulation D exemption;
- Drafting of the Private Placement Memorandum (“PPM”) with proprietary “Presentation Grade” standard;
- Drafting of a Subscription Agreement and Investor Suitability Questionnaire;
- Drafting of an Offering Term Sheet;
- Form D notification filing drafting and EDGAR filing guidance;
- Access to our 800-firm FINRA Broker Dealer database.
- Entity Formation
- Drafting of or Amending Bylaws or LLC Operating Agreements
- Drafting of Promissory Notes, Warrants, SAFE Agreements, or Stock Option Agreements
- Cap Table Reorganization
- Amending formation documents or executing amendments for Articles of Incorporation or LLC Formation