Tag Archives: SEC

Am I Disqualified From Using Rule 506 If I Miss a Form D Deadline?

I was asked this question today: “If I filed a Form D late a couple of years ago, and the proposed rules go into effect as written, they provide a 5 year look back. Does that mean I will suffer … Continue reading

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Can I Talk To the Press?

Q: My company is conducting a non-generally solicited offering under Rule 506(b). We have held our first closing and filed our Forms D with the SEC and various state securities departments. Now the press has picked up the Form D … Continue reading

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Questions From Adam Lieb, Founder of Duxter

The other day, Adam Lieb of Duxter and I had the chance to correspond with each other about the SEC’s now effective general solicitation rules and the SEC’s proposed rules regarding Regulation D and Form D.  Adam had a bunch of … 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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