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FAQ’s - Regulation D

  • What is Reg D?

The Federal and State securities laws for raising capital are very complicated and involved. However, because Congress recognized a need for small business to have access to raising investor capital it created an “exemption” to all those rules. The exemption, Regulation D, is the principal federal security regulation you must comply with when raising capital from investors. In other words, if you comply with Reg D you are exempt from all the very complicated and very expensive government regulation.

  • What does this mean to me?

If you are taking investor money (capital) from any person other than immediate family members ( mother, father, sister, brother), you must comply with the “Reg” D regulations.

  • What can I do to comply with Reg D?

There are 6 Rules. Rule 501, Rule 502, Rule 503, Rule 504, Rule 505 and Rule 506. Each rule describes what you must do to meet the exemption. Read it. The Rules are not long and mostly can be understood if you take your time reading them. They are posted on the S.E.C. website, and we have information on this website. Recognize that which you don’t understand and seek clarification.

  • Must I get permission from the S.E.C before I take any money from investors?

No, However, within 15 days of receiving your first investment check you must file with the SEC what is known as Form D. This is a notice to the SEC that you have accepted investor money. There is no approval process.

Are you deciding whether to proceed or even how to proceed to raise capital for your business or a new start-up; you will find that there is a great deal of free information on this website. If you have decided to take your project to the next level you may want to consider reviewing our audio seminars. These seminars not only provide a much higher level of knowledge and information but on completion allow you to structure a “game plan” of what needs to be done and how to do it.

Private Placement Memorandum Explained. Click Here

Call Mr. Lance Shields at 239-300-9875  /  This email address is being protected from spambots. You need JavaScript enabled to view it.

Shields Capital Partners

3606 Enterprise Avenue

Naples, FL 34104

Hours: (M - F 10:30am - 6:00pm Eastern)


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