Private Placement Offerings

Finra CARDS

Finra CARDS

The financial and security industries all over the country have reacted with a mixture of surprise, displeasure and genuine concern to the proposed Comprehensive Automated Risk Data System (CARDS), which was proposed in 2014 by the Financial Industry Regulatory Authority, Inc. (FINRA). FINRA cards has often been seen as the…

Finding Qualified Investors For Each Reg D Rule

Finding Qualified Investors For Each Reg D Rule

Qualified investors come in all shapes and sizes and can offer very different kinds of resources. Depending on the growth stage of the company, different kinds of investors are called upon to provide the necessary capital to help the business take off or expand. Initial Investors Have Relaxed Qualifications Early…

Building A Trustworthy Oil And Gas Offering

Building A Trustworthy Oil And Gas Offering

Securities for oil and gas ventures can reap high rewards for investors, but history has recorded high losses and serious charges leveled against brokers and promoters of fraudulent offerings. The SEC has documented a number of cases in which benefactors have lost whole investments due to faulty information or dishonest…

Regulation D Offerings: 506B vs 506C

Regulation D Offerings: 506B vs 506C

The topic under examination in this article is the difference between SEC Regulation D Rule 506(B), and Rule 506(C) in a private placement situation. That’s B for Bravo and C for Charlie. It’s important to understand federal securities laws. A solid knowledge of the opportunities and limitations set forth by…