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From selecting your Funding Portal, to working with you to prepare a compliant Form C, to navigating the advertising rules and restrictions, we are available to provide strategic insight, practical advice and help you avoid the common pitfalls when crowdfunding.

We will extend our network of trusted registered intermediaries, accountants and other helpful service providers to quickly and effectively empower you to bring your campaign to a successful conclusion.

What is Regulation Crowdfunding?

Regulation Crowdfunding is a securities exemption that allows privately-owned companies in the US to raise capital from investors with limited marketing restrictions.

Under this exemption, issuers are permitted to:

  • Accept investments from both accredited and non-accredited investors
  • Leverage a funding portal’s network and marketing activities
  • Test the waters prior to the launch of a Reg CF campaign
  • Utilize social media to promote a campaign
  • Openly pitch a fundraising effort at events
  • Experience simplified investor on-boarding with the help of a funding portal

The Limits of Regulation Crowdfunding

While equity crowdfunding is an increasingly viable method of raising capital in the US, the Reg CF exemption does have its limitations and is not a good fit for every business.

Some of the most practical considerations include:

  • A maximum offering amount of $5,000,000 per 12 months under Reg CF
  • A requirement to list the offering with an SEC and Finra registered broker-dealer or Funding Portal
  • Number of investor limits under the Exchange Act and the limited Reg CF carve out from Section 12(g)
  • Investment limits for non-accredited Investors

Our Firm Provides Guidance at Every Stage of your Equity Crowdfunding Campaign

While there are risks associated with raising capital under any exemption, our Firm has the experience and understanding to handle these concerns. We help our clients through every stage of the equity crowdfunding process including:

  • Working with you to choose service providers best suited for your company and goals, including:
    • Funding Portal Selection
    • Accountant Selection
    • Marketing Support
    • Cap Table Management
    • Transfer Agent Services
  • Guidance on offering structure, including security type and its terms. We provide insights to our clients on appropriate offering structures and the ramifications of choosing different types of securities for your company to offer in its seed round – whether they are convertible notes, SAFEs, common stock, preferred stock, KISS, Series Seed or other commonly selected securities.
  • Compliance with Regulation Crowdfunding in your offering materials, during your campaign, and after your campaign ends
  • Working with you on to prepare a side-by-side offering under Regulation D, if you are seeking to raise more than $5,000,000
  • Drafting and filing your Form C with the SEC, Form C-A, Form C-U
  • Drafting and filing your annual report (Form C-AR)
  • Providing post-campaign support, including advising our clients on future financing rounds, conversion of convertible securities, best practices in investor relations management, secondary trading issues and other matters.

Navigation Guide

  • What is Regulation Crowdfunding?
  • The Limits of Regulation Crowdfunding
  • Our Firm Provides Guidance at Every Stage of your Equity Crowdfunding Campaign

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