The Investment Company Act of 1940 (ICA) is a federal law that regulates mutual funds and other investment companies. It is an important piece of… Read More »The Investment Company Act Of 1940 From A Syndication Attorney’s Perspective
Reg D (aka Regulation D) is a Securities and Exchange Commission (SEC) regulation comprised of various rules related to private placement exemptions. It enables certain… Read More »What is Reg D? The 400lb Gorilla of Syndication
The world of securities law and regulation is a complex one, with legal principles that often leave the average syndicator perplexed. But it doesn’t have… Read More »Syndication, Securities Laws, And Regulation D
The Securities and Exchange Commission (SEC) is one of the most important regulatory bodies in the United States. It is responsible for ensuring that investors… Read More »The SEC And It’s Regulation D
Real estate syndication is a powerful tool for investors to achieve their financial goals. It’s an exciting way to diversify your portfolio and build long-term… Read More »Real Estate Syndication Fund Structures
What is a Private Placement Memorandum (PPM)? A Private Placement Memorandum (PPM) is a document that provides detailed information about a private placements to potential… Read More »What Is a PPM (Private Placement Memorandum)?
Section 4(a)(2) of the Securities Act of 1933 and Regulation D (Reg D) are both exemptions from the registration requirements for securities offerings. However, they… Read More »Section 4(a)(2) vs Reg D – Comparing Syndication Structures
Regulation S allows domestic issuers to sell certain securities to non-us persons. Almost always, syndication attorneys will combine the Regulation S exemption with the Regulation… Read More »Regulation S – Raising Money From Offshore Investors
Raising capital is a critical step for any startup or small business. One of the most common ways to raise money is by selling securities,… Read More »Rule 147A vs Reg D Offerings – Comparing Syndication Structures
Reg CF and Reg D are two options for startups and small businesses looking to raise capital through syndication. Both options allow companies to offer… Read More »Reg CF vs Reg D Offerings – Comparing Syndication Structures