Introduce client to the FINRA broker-dealer
community, private equity resources
and online platforms
Consult on the secondary market
(Rule 144A) and non-US investors (Regulation S)
State and Federal Securities Filings
Private placement offerings are subject to filing requirements at the state and Federal level. Our services include:
We also guide clients through creation of an EDGAR Account which is the delivery method of the filing to the SEC. Our compliance support is provided through full completion and close of the offering to ensure the client is properly supported through the entire offering process.
506(c) Advertising Compliance
With the advent of Regulation D 506(c) and the capability to advertise, our compliance support also extends to providing appropriate SEC mandated legend language for 506(c) solicitations and general advertising.
We also assist the client in understanding the proper deployment of a website and other corporate assets for use in promotion of the offering, electronic access to offering documents, and investor relations.