Category: Regulation A+

SEC Regulation A+ Offering Requirements
  • Admin
  • Mar 11, 2023
If you would like to raise money by offering securities for sale to specific investors, you need to register with the Securities and Exchange Commission, also known as SEC. One of the ways to make th....
How to Conduct a Mini Reg A+ IPO
  • Admin
  • May 24, 2022
Jasmine’s Kitchen (JK) creates custom kitchenware for restaurants. They need capital for product development and expansion. They decide to pursue a Reg A+ Mini IPO on the NASDAQ. The NASDAQ is a nat....
What is Regulation A+ vs Regulation CF?
  • Admin
  • May 24, 2022
Freddy and Fabrizio, co-founders of F&F Inc. want to raise capital to franchise their local retail chain, eventually on a national level. They're discussing the benefits of following Regulation A....
How Can a Transfer Agent Help You With a Reg A+ Offering?
  • Admin
  • May 24, 2022
Are you considering a Regulation A+ Mini IPO for your company? Here are six things a transfer agent can help you with on your Reg A+ IPO: A tran....
Regulation A+ Tier 1 vs Tier 2 Offerings
  • Admin
  • Jan 06, 2022
Regulation A+, evolved from the 2012 Jobs Act and provides an exemption so that companies can offer shares to accredited and non-accredited ("Main Street") investors. This process is often called a mi....
How to Go Public through a Direct Public Offering (DPO) onto NASDAQ/NYSE
  • Admin
  • May 12, 2021
The Direct Public Offering (DPO) was restructured by the SEC in 2015. Any company that conducts a DPO does not become publicly traded but can subsequently register to sell on a public market (NASDAQ, ....
Exceptions to Exchange Act Registration for Reg A and Reg CF Companies
  • Admin
  • Apr 06, 2021
Companies conducting a public offering must file a registration statement with the SEC before offering their securities for sale.  Once the registration statement has gone into "effect", these securi....
SEC Raises Offering Limits on Reg A and Crowdfunding Offerings and Improves Exempt Offering Framework
  • Admin
  • Nov 12, 2020
On Nov. 2, 2020, the Securities and Exchange Commission (SEC) adopted amendments to the exempt offering framework under the Securities Act of 1933. The rules will benefit the investors, emerging compa....
Top 10 Best Crowdfunding Platforms for Reg A+
  • Admin
  • Aug 31, 2020
Title IV Regulation A+ allows companies to raise up to $50 million per year, a process that many people refer to as "Mini-I.P.O." Ever since the SEC announced exemptions and leverages in Regulation A+....
SEC Proposes to Increase Crowdfunding Offering Limits
  • Admin
  • Mar 09, 2020
On March 4th, the SEC proposed a series of amendments to improve crowdfunding regulations and the exempt offering framework. The proposal is aiming to promote capital formation and expand investment o....
How to do a Reg A+ IPO on an OTC market
  • Joshua Scofield
  • Oct 01, 2019
Is your company is considering a public offering? Does it plan to trade on an over the counter (OTC) market? If so, you may consider a Regulation A+ (Reg A+) IPO. Reg A+ IPOs are relatively new, strea....
Reg A+ vs S-1 vs Reg D Offerings
  • Dan Carter
  • Apr 11, 2019
Regulation A+ (“Regulation A+”), also known as the “mini IPO”, is an alternative to the traditional IPO, through Form S-1, as filed to the Securities and Exchange Commission (“SEC”). Regul....
Regulation A+ Available for SEC Reporting Companies
  • Dan Carter
  • Jan 23, 2019
On December 19, 2018, the SEC adopted final rules to allow current Exchange Act reporting companies to utilize Regulation A+, also known as the "mini-IPO offering". Reg A+ provides an exemption fro....
Equity Crowdfunding Requirements – Reg A+, Reg D, Reg CF
  • Dan Carter
  • Oct 01, 2018
Before diving into the different types of crowdfunding, it is important to explore what is meant by the term "equity crowdfunding." Instead of a company raising debt capital, companies will raise mone....
EGA Allows SEC Reporting Companies to use Regulation A+
  • Shelby Wayment
  • Jun 20, 2018
President Trump signed the Economic Growth, Regulatory Relief and Consumer Protection Act into law on May 24, 2018. He remarked that this bill had reforms that “are critical to helping all Americans....
Regulation A+ Improvement Act of 2017 (H.R. 4263)
  • Shelby Wayment
  • Apr 24, 2018
The House of Representatives recently passed H.R. 4263 on March 15, 2018, titled the Regulation A+ Improvement Act. Regulation A+ is comprised of two separate tiers regarding offerings, titled Tier 1 ....
Summary of SEC Commissioner Michael Piwowar’s Remarks on IPOs
  • Admin
  • Jun 19, 2017
Introduction At the beginning of his opening remarks in May of 2017, SEC Commissioner Michael Piwowar expressed that he was happy to be involved in the SEC-NYU dialogue in which he shared his views o....
Five Benefits of Investing in a Business and Equity Crowdfunding
  • Admin
  • Jul 23, 2016
There are many ways to invest; you can invest your money through owning collectables, owning a home, opening a savings account, or investing in a company. Below are five benefits of investing through ....
OTCQB Proposed Standard Changes Allow Regulation A Listing
  • Dan Carter
  • Jun 22, 2015
Proposed Amendments Would Allow Regulation A Tier 2 Offerings for Listing on OTCQB The SEC's amendments to Regulation A of the Securities Exchange Act became effective on 6-19-2015. If all requiremen....
SEC Issues Final Rules on Regulation A+
  • Dan Carter
  • Apr 22, 2015
The SEC issued a final ruling for smaller companies looking to obtain funding from external investors, known as Regulation A+. These rules are a revised and expanded implementation of Regulation A of ....