Regulation D, Private Placement Offering, and PPM Lawyers for Raising Capital

Fixed Fee Regulation D

Cost control is important at any stage and there are choices for law firms in the private placement offering field. However, our unmatched fixed fees and billing options serve the client’s budget, without compromise.

Experienced Lawyers

Regulation D allows companies to raise capital without registering their securities with the SEC (but it is a legal process that demands experienced private placement attorneys to avoid stiff penalties). Each lawyer in our firm has lawyer 15 years of private offering experience.

Full PPM Solution

To keep their fees "low", other PPM and "Reg D" providers often limit their deliverables to the PPM . Our firm was established to provide the FULL array of private offering deliverables including all legal docs and consulting, without excessive fees.

With our fixed fee Regulation D private placement offering services, other lawyers come up short.

(Click Private Offering Chart to Enlarge)

What is a Regulation D Private Placement Offering?

Companies seeking to raise capital by selling securities typically require an exemption from the Securities Act of 1933. Offering securities without relying on an exemption or registration can result in stiff civil and criminal penalties. Yet registration is cost prohibitive for most companies.

Regulation D is the premier securities registration exemption used by private companies seeking capital. During 2013, alone it is estimated that approximately 1.2 trillion dollars were raised through this exemption, with over 40,000 private placement offerings being conducted since 2008. With this regulation's exemptions (Rules 504, 505, and 506), companies can affordably comply with state and federal securities regulations to properly solicit and accept investor capital. In addition, with new Rule 506(c), companies may now engage in general advertising and general solicitation of accredited investors.

Regulation D Compliance: a Must for any Private Placement Offering

Companies raising capital typically must have a securities law compliant offering to avoid penalties and provide an investment structure.

Many fail to do so when relying solely on a business plan. Other than describing business opportunities or operations, business plans rarely lay out the key terms necessary to even facilitate investment (e.g., debt vs. equity, anti-dilution, preemption, management rights, liquidation preferences, etc.) As a result, these companies hamper their ability to raise capital and likely violate state and federal securities laws in the process.

Without using this exemption (often paired with a private placement memorandum), it is difficult if not impossible to provide concrete terms that build investor confidence and avoid legal penalties. Often investors simply pass on companies with hazy deal terms.

Regulation D Blog

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We look forward to discussing our fee structures, our experience, and our superior value proposition so that you can make an informed decision. Please fill out the contact form and we will contact you to setup a consultation. If you prefer, please feel free to contact us by phone at (212) 785-0076.