Securities Laws

Capital Raising in the U.S – Analyzing Offerings Using Reg D Exemption – William Rosellini

Division of Economic and Risk Analysis (DERA) U.S. Securities and Exchange Commission By William Rosellini – In 2012, we issued a report on capital raising in the U.S. through unregistered offerings, using information extracted from Form D filings received by the U.S. Securities and Exchange Commission since the beginning of 2009 through the first quarter …

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Facebook’s Use of Regulation D – William Rosellini

By William Rosellini – Facebook’s use of Regulation D was vital to their success. If you’re like us you’re probably wondering how Facebook got started. Well, according to the SEC’s archives, they had very humble beginnings, just like every other startup. Facebook, Twitter, Tesla, and thousands of other companies have gotten started using a purposely …

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Regulation D Rule 507 – William Rosellini

Section 230.507 – Disqualifying provision relating to exemptions under §§230.504 and 230.506. (a) No exemption under §230.504 or §230.506 shall be available for an issuer if such issuer, any of its predecessors or affiliates have been subject to any order, judgment, or decree of any court of competent jurisdiction temporarily, preliminary or permanently enjoining such …

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Regulation D Rule 504 – William Rosellini

Section 230.504 – Exemption for limited offerings and sales of securities not exceeding $5,000,000. (a) Exemption. Offers and sales of securities that satisfy the conditions in paragraph (b) of this §230.504 by an issuer that is not: Subject to the reporting requirements of section 13 or 15(d) of the Exchange Act,; An investment company; or A development …

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