SEC

The Section 4(a)(2) Offering Trap

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SUMMARY When raising capital, companies can use Section 4(a)(2) or Regulation D exemptions to avoid costly public offerings. While Section 4(a)(2) offers privacy and no federal filings, most attorneys prefer Regulation D because it preempts state securities laws, provides clearer legal standards and offers stronger protection against lawsuits. Section 4(a)(2) remains useful mainly for single-investor … Read more

Securities Law Compliance for Entrepreneurs

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As an entrepreneur or business owner, understanding and complying with securities laws is crucial for the success and longevity of your venture. These laws, designed to protect investors and maintain the integrity of financial markets, carry significant implications for businesses of all sizes. This post will explore the importance of compliance, what it entails and … Read more