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
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
