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
Exempt offerings are subject to filing requirements at the state and Federal level.
Our services include:
- U2 Filing Review: this filing is utilized at the State level
- Form ID EDGAR Access Filing Review: EDGAR is the system used by the SEC to transmit and manage your SEC filing. We review your Form ID EDGAR access filing for accuracy ensuring your EDGAR account is properly created with the SEC.
- Form D Federal Filing: Utilized with the SEC to ensure all sales are in compliance with SEC filing guidelines. We provide review and development services for this filing as part of our services matrix.
506(c) Advertising Compliance
Compliance support includes appropriate SEC- and state-mandated legend language for 506(c exempt offerings.
We assist the issuer in the proper deployment of a website and other marketing assets n promotion of the offering.