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April 2014 - Regulation D and PPM Lawyers

The default rule when a company seeks to offer and/or sell its securities, under the Securities Act of 1933, is that it must “register” those securities with the Securities and Exchange Commission, unless it can qualify for and leverage an exemption from such registration. Fortunately, there are certain “go to” exemptions that drive many of

At this point, it’s no secret that Regulation D Rule 506(c) (as opposed to the more traditional 506b) enables issuers to engage in general advertising and solicitation of accredited investors.  The rule offers, to a large extent, a “best of both worlds” opportunity by maintaining the main value proposition of a private placement offering under

Any issuer raising capital through a regulation D private placement offering must typically comply with “blue sky” notice filing regulations in the states in which the investors reside. In most cases, these are notifications to the individual states that the issuer company is soliciting parties in that state for investment.  This can result in multiple

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