SEC and State Compliance Part 6: Finders in Reg D Capital Raising

When raising capital for your business or fund, compliance with the SEC and state law rules is paramount. It's vital to understand both the role and the regulations related to 'finders' - individuals who help you raise money. Although not all finder activities are illegal, it's easy to cross the line into an area that the SEC could deem a regulatory issue. There are 16 key criteria you need to be mindful of when using finders. These range from how the finder is paid (avoid performance-based pay unless they're a registered broker-dealer), to whether they assist in transactions, participate in discussions, or handle customer funds. The more a finder looks like a proper part of your organization, the safer you are from negative regulation. Following these guidelines helps you stay on the right side of the rules, enabling you to focus on generating returns for your investors.

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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