Corporate Fund Raising

  • Many startups and even ongoing businesses need to raise significant capital from time to time.
  • We assist businesses with limited legal budgets to raise capital.
  • We can assist in raising unlimited funds via transactions exempt from SEC registration.
  • This saves tens of thousands of dollars in attorneys and accountant fees.
  • We file mandatory Notice of Exempt Transaction forms with SEC and States where investment is offered.
  • We prepare the required transactional documents to engage the investors.
  • We do not handle registered securities, only exempt transactions.
  • We assist clients in deciding whether exempt transactions are a possibility for their plan.
  • One SEC rule allowing exempt securities transactions has a $10,000,000 per year maximum.
    Link to Rule 504
  • Other SEC rules allow exempt transactions with no annual limit, under certain qualifications.
    Link to Rule 506b
  • The latest SEC Rule – enacted to clarify some of the complexities of the other rules dealing with safe harbor securities offers is Rule 506(c). Unlike most of the other rules, it allows broad solicitation and general advertising of securities offers, without SEC registration, under certain conditions.
    Link to Rule 506(c)