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Private Offering Transaction Exemptions: Regulation D, Rule 506

In order to offer and sell securities in the United States an issuer, whether a public or private company, must comply with the registration and prospectus delivery requirements of the Securities Act of 1933, or must offer and sell the securities privately pursuant to an exemption or exclusion from... Read More ›

Risks Associated with Using or Acting as a Finder

Finders are individuals or entities that act as intermediaries; they bring together parties for potential business opportunities, such as an issuer and investor. The use of a finder is not without risk, however, as a finder may be engaged in activities requiring registration as a broker-dealer. Read More ›

Rule 144 Resales of Restricted Securities

Rule 144 allows public resales of restricted and control securities, provided the following conditions are met. Read More ›