​ SEC rules on fund raising and securities.

5 Replies

So how do you form partnerships with local investors that are not accredited and not get into trouble.   Please tell me your story on fund raising and SEC compliance.  What is your experience.

I, personally, find navigating this topic tricky

Here are some Articles about SEC rules on securities. 



Also,  If anyone could speak out about how the JOBS Act lifting the ban on advertising for securities can change how you raise funds. 

I am looking to get some of the same information so I'll follow this thread an see what the more experienced investors have to say about these topics.

The only way to navigate this path is to huddle up with a good securities attorney. Good luck.

do you know an attorney? I am looking for the same thing... If you found a good one, can you forward me the name?

Ditto what Al has said and these types of Securities attorneys do not come cheap but are worth every penny.  Since the Bernie Madoff Pyramid Scandal, this is something the SEC takes very seriously. 

The types of attorneys that deal with this are specialists. Think of a foot doctor (specialist) vs. a general doctor (your standard vanilla attorney) 

I've consulted with a SEC attorney in SOCAL (PM for details) who is very good and can explain the ins and outs of the how the process works. 

In essence, you work with your attorney to setup a PPM (private Placement memorandum) which allows you to advertise to raise money.

Again, a lot depends on how much you would like to raise and what you intend to raise the funds for.  

Hope this helps. 

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