SEC and State Compliance Part 7: Staying Out of Trouble

Syndication Law & The Private Placement Memorandum Attorney

Venturing into private offerings through Regulation D, Rule 506 B, or Rule 506 C? Here's a roadmap to keep you out of trouble and in compliance with SEC and state regulators. Start with a well-constructed private placement memorandum that informs investors about the offer, potential risks, and uses for the funds. Comply with syndication rules and avoid being too clever or ambiguous. Resist the temptation to pay finder's fees and ensure you file Form D and notify the states. Follow the golden rule of treating your investors as you'd like to be treated. Engage an experienced syndication attorney to guide you through the nuances and complexities of Regulation D. Remember, your success is tied to your investors' success.

Read more about PPMs - What is the purpose of Private Placement Memorandum (PPM)?: https://www.moschettilaw.com/do-i-need-a-ppm/

Read more about the SEC and Reg D - The SEC And It’s Reg D: https://www.moschettilaw.com/sec-reg-d/

Moschetti Syndication Law Group is a boutique syndication law firm, serving small and growth-bound syndicators, as well as private equity firms. Our attorney, Tilden Moschetti, is determined to keep the firm’s ‘boutique’ size so we can tailor the services to each client’s unique needs without turning the firm into a faceless factory churning out private placement memorandums or passing unnecessary overhead expenses onto our clients. (As our client, you’ll only pay a fixed fee, so no surprises.) As for the client experience, we give real-time answers with Tilden Moschetti without making you book an official appointment or get passed along to associates or paralegals. We’ll work with your ambitions and overall vision to help you close the current deal and fill in that ‘missing’ piece – whatever you need – to keep adding more syndications to your portfolio. We keep syndicators syndicating (TM).

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