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Regulation D - Federal Securities Laws 

Securities Act 1933 - Reg D - Regulation D Exemption / Private Placement Offering - Public Offerings 

Any endeavor to raise capital from the public is regulated by both federal and state securities laws. These laws apply to all investors. The exception is money raised from members of your direct family (father, mother brother sister). You cannot take ANY investor money without complying with both Federal and State laws. These laws are not only confusing but appear to contradict each other. To successfully raise the capital you will need to understand how to raise money in compliance with Federal and State Laws. Use this information like a cheat sheet to allow you to form a strategy that has the possibility of success. You need to understand what Federal Securities exemptions to use. How to use the exemptions. What documents you need to produce and provide to investors.

What does exemption mean?

What does "blue sky" mean?

Can you advertise on the Internet for investors?

What is an Offering?

What is an Offering Memorandum?

When is an Offering Memorandum required?

What does "all material information" mean?

What are your disclosure responsibilities?

Score v. Private Equity Placement?

Can you raise money successfully?

What are your responsibilities with oral disclosures?

Can you be held liable for statements?

When does an Offer occur?

What is a Private Placement Offering?

Regulation D Rule 501

Regulation D Rule 502

Regulation D Rule 503

Regulation D Rule 504

Regulation D Rule 505

Regulation D Rule 506

Should you offer Investors Debt or Equity?

What is Form D and does it need to be filed with the government? If so, When? 

The answer to these questions and more are available on this website. Look around and start finding the answers to your questions.

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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