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 to be this way – syndication offers an innovative solution for those looking to navigate around complicated rules and regulations. With Regulation D as its cornerstone, understanding
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 legislation, as it sets out the rules for how these entities can operate in the United States. This article will explore the ICA from a
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 can trust the investments they make, as well as providing protection from fraud or other misconduct. The SEC also plays an important role in governing
Form D is a filing with the Securities and Exchange Commission (SEC) which allows sponsors to sell securities to raise capital under the SEC’s Regulation D (Reg D). What Is SEC Form D? Form D is the form filed with the SEC notifying it that a sponsor will be selling
Reg D (aka Regulation D) contains a set of rules that allows the leaders of many different kinds of businesses and industries sell securities without registering with the SEC. In a nutshell, Regulation D offerings are securities regulated by the SEC which are formed by the Sponsor and sold to
What is an Accredited Investor Under Regulation D? For most cases, an Accredited Investor is an individual whose income is over $200,000/year (for single persons) or $300,000/year (for married couples) or has a net worth over $1,000,000 not including equity in their principal residence. Reg D enables business owners to
Making an offering of securities under the SEC’s Regulation D Rule 506b or Rule 506c comes with many advantages. Both allow you to raise an unlimited amount of capital. Plus, the rules offer exemption from the Securities and Exchange Commission’s (SEC’s) usual registration rules. As such, Rule 506 is ideal
Regulation D for Crypto like Funds, Crypto-mining, or Blockchain Businesses, can be a powerful tool. Between 2012 and 2020, the value of Bitcoin rose by 193,639.36%. That represents an astronomical return on investment. It is also a statistic that demonstrates why so many are currently focused on investing in cryptocurrency
Regulation D for business capital lets entrepreneurs take control of the largest challenge they face: raising capital. This is especially true if you’re running a start-up that has yet to go public. In some cases, the more public methods of raising capital may be inaccessible to you. In other cases,
Regulation D for Private Equity and hedge funds operate in similar ways. In both cases, the businesses raise money from institutional and individual investors. These investors provide their capital in exchange for some form of interest into the entity the hedge fund or private equity form oversees. Furthermore, both hedge
