Tag Archives: Regulation D

Securities Law 101

If you are the founder of a startup, unless you plan to self-fund and never grant stock options or other types of compensatory equity awards, you will need to familiarize yourself with both federal and state securities laws. The reason?  … Continue reading

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The SEC Releases Crowdfunding Rules…Now What?

The SEC issued its long awaited proposed crowdfunding rules yesterday. NPR asked me for my thoughts on how it might apply and what to expect. NPR Interview More About the SEC Crowdfunding Rules Take a look at the SEC Draft … Continue reading

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Unrequested Media Coverage and General Solicitation

Q: If I file a Form D, as required by Regulation D, and a media outlet picks up on the filing and reports on it, have I generally solicited my offering under Rule 506? What happened was, we raised $100,000 … Continue reading

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10 Things To Do Before Generally Soliciting

Can you generally advertise your private company securities offering now? Yes! This became possible on September 23, 2013. But here are some notes of caution. Some suggestions. Some things I’d recommend you do before you generally solicit, if you decide … Continue reading

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Crowdfunding v. Rule 506(c) Offerings

A lot of folks are confused about the SEC’s repeal of the ban on general solicitation and how it relates to crowdfunding. Is general solicitation crowdfunding? The SEC’s repeal of the ban on general solicitation relates to accredited investor-only offerings … Continue reading

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