Rule 506(c) - Securities & Going Public Lawyers

What Is An Unregistered Broker? – Going Public Lawyers

The Securities and Exchange Commission (the “SEC”) is pursuing unregistered broker or broker dealer activity which runs rampant in the penny stock markets particulary in transactions involving reverse merger companies. Often these unregistered broker-dealers claim to be exempt… Read More

The Bad Actor Rule of Rule 506(d)

According to a recent Securities & Exchange Commission (“SEC”) report, thousands of businesses raise billions of dollars in capital through offerings exempt from registration under Regulation D of the Securities Act of 1933, as amended. Rule 506 is… Read More

Do State Blue Sky Laws Apply To Regulation D Offerings?

    Issuers are sometimes unaware of the state laws that apply to offerings that are exempt under the federal securities laws. The purchase or sale of a security be subject to a registration statement under the Securities… Read More

Rule 506 Offerings FAQ By: Brenda Hamilton Attorney

Securities Lawyer 101 Blog Rule 506 Offerings are the most common of the Regulation D exemptions from registration under the Securities Act of 1933, as amended (the “Securities Act”).   It has been approximately a year since the Securities… Read More

When Private Placements Go Public – Going Public Attorneys

Rule 506 of Regulation D of the Securities Act of 1933 (the “Securities Act”) provides for a private placement exemption from federal securities registration which is increasingly being used by companies seeking to raise capital prior to going public. While… Read More

Will My Regulation A Offering Be Integrated?

The Regulation A offering integration rules prevent companies from improperly avoiding registration by dividing a single securities offering into multiple securities offerings to take advantage of Securities Act exemptions that would not be available for the combined offering. Recently… Read More

Accredited Crowdfunding Q & A – Going Public Lawyers

Private placement offerings under Rule 506 of Regulation D of the Securities Act of 1933, as amended (“Securities Act”) are a cost effective and relatively quick way for private companies to raise capital before, during, and after a… Read More

Due Diligence in Accredited Crowdfunding Offerings

The Anti-Fraud Provisions That Apply to Accredited Crowdfunding Even though Accredited Crowdfunding Offerings are exempt under Rule 506(c) and no specific disclosure requirements apply, under most circumstances, the anti-fraud provisions mandate disclosure of certain information to investors.  Section… Read More

What is an Accredited Investor Verification Provider?

“Accredited Crowdfunding” under Rule 506(c) of Regulation D of the Securities Act of 1933, as amended allows an issuer to use general solicitation in connection with its private placement of securities. Rule 506(c) requires the issuer to take… Read More

Crowdfunding for Private Companies – Crowdfunding Lawyers

Sometimes, a company seeking to raise capital may not want to spend the time and expense of an initial public or direct public offering.  In such circumstances, the company should consider an exempt offering. Even though the SEC… Read More