Selected Offering Exemptions

Quick Guide to Offering Exemptions

Click here to view and download this easy to navigate PDF identifying some of the requirements, limitations, and advantages of a few federal exemptions available to small businesses raising capital.

Please note that the information below is informative only in nature, is subject to change, and shall not be construed as offering legal advice in any way. You are solely responsible for your use of the information below. Please consult with an attorney for specific application of any exemption.

Determining the most suitable exemption will depend on the particular needs of your business and the structure of your offering. (Note, that each and every time your company conducts a raise, the securities must qualify for an exemption or be registered under federal and state law.) A few factors to consider include: how much money you’re looking to raise, what type of investors you wish to reach, and how you plan to conduct your offering. A more detailed explanation of the basic breakdown covered in the attached chart follows, and is separated by a few of the critical distinguishing factors.

Note, the exemptions discussed below and in the chart exempt issuers from the registration requirements of the Securities Act of 1933 (the “Securities Act”); however, issuers are still subject to other provisions of the Securities Act, such as the antifraud provisions.

Exemptions Overview

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Again, please note that the information above is informative only in nature, is subject to change, and shall not be construed as offering legal advice in any way. Please consult with an attorney for specific application of any exemption.