Free Guides for Deep Tech Founders
I get many emails that asking for advice on a wide range of topics – here are some guides that cover what I’ve learned over time.
The two general types of Regulation D capital raises: (1) Equity, and (2) Debt. These can also be combined into a Convertible hybrid of the two (see #3 below). 1. An ‘equity’ offering is where the...
Section 230.500 – Use of Regulation D. Users of Regulation D (§§230.500 et seq.) should note the following:...
To start a Reg D Private Stock Sale (or a Note Offering) one needs to map-out a ‘Return On Investment’ scenario (“ROI”) for potential investors, i.e., what they’re going to get in return for...
Companies that sell private or public securities to raise capital must file the appropriate documents with the SEC through their EDGAR system. To get started issuers will need to first register with...
State securities regulators have individual websites with important information. Click the state to visit the website of each agency. United States...
Regulation D State Filings Within 15 days after receiving your first investment capital you will need to file a Reg D (“Form D”) notice with the SEC and the State of residence of the investor(s) who...
Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 The Dodd-Frank Wall Street Reform and Consumer Protection Act was signed into law on July 21, 2010 by President Barack Obama...
The Jumpstart Our Business Startups Act (the “JOBS Act”) was enacted on April 5, 2012. The JOBS Act aims to help businesses raise funds in public capital markets by minimizing regulatory requirements...
Preparing a Regulation D securities sale involves seven steps to raising capital: 1. A Great Business Idea. 2. A Great Business Plan: A full copy of the business plan should be included in the PPM...