Friday, September 30, 2011

Regulation D: Some Important Points

Takeaway: Some of the SEC’s more commonly used registration exemptions for private offerings are found in “Regulation D.”  Two of the overarching themes of “Reg D” are (1) a prohibition against “general solicitation” and (2) the distinction drawn between “accredited” and “unaccredited” investors.  Understanding these two concepts is crucial when offering securities for sale under these exemptions. Back in February, I discussed the importance of ensuring compliance with SEC and state regulations surrounding the private offering of securities.  As an old industry adage goes, there

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