Public Offerings / Private Offering

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  • Client Consultation.
  • Review offering with counsel for applicable exemptions.
  • Review and analyze your current filing structure:
    • Regulations A
    • Regulations S
    • SB- 1
    • Exemptions – if applicable
    • Secondary Market Options
    • Etc.
  • Produce all forms from the Blue Sky MLS database and file with the states.
  • Submit all forms to the client/issuer on a one-time basis for manual execution and notarization.
  • File all documents with the applicable states.
    • Coordinate SEC filing with each state to allow for expedited review and simultaneous registration.
  • Follow up on the status of each filing and handle comments for the examiners requesting additional documents.
  • File all post-effective documents with each state upon effectiveness.
  • Supply client with a detailed report on the status of each state’s registration
  • Maintain files containing copies of all correspondence and documents filed with the applicable states.
  • File all amendments at client’s request
  • File all sales reports and termination filings at the close of an offering.

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