Syndication Law & The Private Placement Memorandum Attorney Understanding Reg A, Reg CF, and Reg D in Syndication: The Alphabet Soup Explained
The various regulations and exemptions from SEC registration that are involved in syndication and fundraising processes. A walkthrough of the 'alphabet soup' of syndication, unpacking the regulations from A to D, specifically Regulations A, CF, and D.
Regulation A is split into two tiers: tier one allows raising up to $20 million, accepting non-accredited investors and requires regular disclosures, while tier two has a higher limit of $50 million, more rigorous scrutiny, and requires audited financials. A detailed analysis of Regulation CF and Regulation D Rule 504 follows, outlining the possibilities and constraints of each.
Regulation CF allows raising up to $5 million and includes non-accredited investors but requires that all offerings be made through an SEC approved platform. Regulation D Rule 504 used to be popular, allowing raising up to $10 million and occasionally accepting non-accredited investors, but is now out of favor due to complexity and costs.
Regulation D Rule 506b and 506c, however, are highlighted as the most utilized options. Rule 506b allows an unlimited amount of money to be raised with a limit of 35 non-accredited investors in any 90-day period, whereas Rule 506c also allows unlimited fundraising but restricts to only accredited investors. Both regulations require substantial disclosures and have differing rules on advertising.
Read more about Reg D Rule 506b - Rule 506b of Reg D: Non-Accredited Investors & No Solicitation: https://www.moschettilaw.com/rule-506b-of-reg-d/
Read more about Reg D Rule 506c - Rule 506c of Reg D – Solicitation & No Non-Accredited Investors: https://www.moschettilaw.com/rule-506c-of-reg-d/
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Moschetti Syndication Law Group is a boutique syndication law firm, serving small and growth-bound syndicators, and well as private equity firms. We keep our firm ‘boutique’ size so we can tailor the services to each client’s unique needs without turning the firm into a faceless factory 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 without making you book an official appointment. And 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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