Regulation D Offerings

  • Unlimited Raise Amount (506 Offerings)

  • Traditional 'Private Placement' Exemption.

  • Reg D 506(b) No General Solicitation Allowed - Accredited and Non-Accredited Investors Allowed

  • Reg D 506(c) General Advertising Allowed - Accredited Investors Only

Regulation D Offerings are an excellent choice for companies seeking to raise capital through an offering that does not require SEC qualification or a Broker Dealer intermediary. 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.

  • 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.
  • Flat fee offering preparation

Clients may also choose to have a Regulation D Offering Investor Web Portal Build 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;
  • Ability to archive all relevant subscription documents;
  • Provides an investor relations solution for managing on-boarded investors;
  • Provides offering administration functions