Information You Can Use
The resources below can help you further your understanding of the capitaliztion process, and access useful data and tools to assist in your capitalization efforts.
PDF documents require the Adobe Reader, which you can download free here.
1 – Organizations
2 – Resources
3 – Securities
- Can You Use Finders To Raise Capital?
- Definition of Accredited Investors
- EDGAR Database
- Finders’ Fees and Securities Laws
- Form D and Instructions (PDF)
- Information for Small Businesses
- Is There a Federal Finder’s Exemption to Broker-Dealer Registration?
- Laws That Govern the Securities Industry
- Overview of Regulation D Offerings
- Potential Pitfalls and Considerations of Finder’s Fee Agreements
- Restricted Securities – Removing the Restrictive Legend
- Rule 504 of Regulation D
- Rule 505 of Regulation D
- Rule 506 of Regulation D
- Rules of Regulation A
- Section 4(2) of the Securities Act
- Securities Lawyer’s Deskbook
- Small Business and the SEC – Questions and Answers
- What the SEC Does