Exempt Offerings  JOBS Act Solutions

advising on exempt offerings to find investors.  


Consult on pre-offering entity structure and term sheet


Draft PPM, subscription agreement, investor questionnaire, state filings, and other documents


File documents with SEC and states


Draft SEC-mandated 

verification letters


Establish a SEC EDGAR account
and secure a CIK number


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.