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Podcast: Syndication Law & The Private Placement Memorandum Attorney
Episode: SEC and State Compliance Part 7: Staying Out of Trouble
Description: Venturing into private offerings through Regulation D, Rule 506 B, or Rule 506 C? Here's a roadmap to keep you out of trouble and in compliance with SEC and state regulators. Start with a well-constructed private placement memorandum that informs investors about the offer, potential risks, and uses for the funds. Comply with syndication rules and avoid being too clever or ambiguous. Resist the temptation to pay finder's fees and ensure you file Form D and notify the states. Follow the golden rule of treating your investors as you'd like to be treated. Engage an experienced syndication attorney to guide you...