Raising capital through an SEC-exempt securities offering can be an effective way to fund your business, acquisition or project—but “exempt” does not mean simple, and it certainly does not mean unregulated.
Federal and state securities laws still impose important requirements on companies and their principals. Working with experienced securities counsel from the beginning can help you avoid costly mistakes and build a stronger foundation for your capital raise.
Experienced securities counsel can help structure your offering around your business, your investors, and your fundraising objectives.
A securities law firm can help prepare and review documents such as private placement memoranda, subscription agreements, investor questionnaires, and related disclosures to help ensure they are accurate, consistent, and appropriate for the offering.
Experienced securities counsel can help identify potential issues before the offering begins, address applicable federal and state requirements, and help create a thorough record of compliance.
Having experienced securities counsel involved early can help you structure the offering properly, prepare comprehensive documents, and navigate the regulatory requirements applicable to your particular capital raise.
Red Rock Securities Law helps businesses and sponsors navigate securities offerings with practical, experienced legal guidance.
Considering a capital raise? Contact Red Rock Securities Law to discuss your offering and how we can help. Call us today: (720) 586-8610
Federal and state securities laws still impose important requirements on companies and their principals. Working with experienced securities counsel from the beginning can help you avoid costly mistakes and build a stronger foundation for your capital raise.
1. Properly Structure Your Offering
Selecting the right securities exemption is one of the most important decisions in a capital raise. Whether you are considering Regulation D, Regulation A, or another exemption, the rules can vary significantly regarding eligible investors, solicitation, disclosure, and filing requirements.Experienced securities counsel can help structure your offering around your business, your investors, and your fundraising objectives.
2. Prepare Strong SEC Offering Documents
Your offering documents are not just paperwork. They communicate important information to investors and establish the terms and expectations of the investment.A securities law firm can help prepare and review documents such as private placement memoranda, subscription agreements, investor questionnaires, and related disclosures to help ensure they are accurate, consistent, and appropriate for the offering.
3. Help Protect Your Company and Management
A securities offering can create significant legal exposure if the applicable exemption requirements are not satisfied or if investors do not receive adequate disclosure.Experienced securities counsel can help identify potential issues before the offering begins, address applicable federal and state requirements, and help create a thorough record of compliance.
The Bottom Line
An SEC-exempt offering may be exempt from SEC registration—but it is not exempt from the law.Having experienced securities counsel involved early can help you structure the offering properly, prepare comprehensive documents, and navigate the regulatory requirements applicable to your particular capital raise.
Red Rock Securities Law helps businesses and sponsors navigate securities offerings with practical, experienced legal guidance.
Considering a capital raise? Contact Red Rock Securities Law to discuss your offering and how we can help. Call us today: (720) 586-8610
