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Use an exempt offering to raise capital
Under the federal securities laws, every offer and sale of securities, even if to just one person, must be either a public offering registered with the SEC or conducted under an exemption from registration.
Not all exempt offerings are the same
The requirements for different exempt offerings are not the same:
  • Reg A, Tier 1
  • Reg A, Tier 2
  • Reg CF
  • Reg D, Rule 504
  • Reg D, Rule 506(b)
  • Reg D, Rule 506(c)
Compliance after the raise
Keeping investors informed and staying compliant with SEC reporting requirements after the raise is more than filling out a few forms.
Managing the cost of disclosure
The SEC thinks you should spend a lot on compliance – we don’t.
Use an exempt offering to raise capital
Under the federal securities laws, every offer and sale of securities, even if to just one person, must be either a public offering registered with the SEC or conducted under an exemption from registration.
Not all exempt offerings are the same
The requirements for different exempt offerings are not the same:
  • Reg A, Tier 1
  • Reg A, Tier 2
  • Reg CF
  • Reg D, Rule 504
  • Reg D, Rule 506(b)
  • Reg D, Rule 506(c)
Compliance after the raise
Keeping investors informed and staying compliant with SEC reporting requirements after the raise is more than filling out a few forms.
Managing the cost of disclosure
The SEC thinks you should spend a lot on compliance – we don’t.

Planning ahead

The value of quality reports

In addition to maintaining compliance with the SEC’s rules and regulations, on-going reporting has other benefits. Customers, suppliers, vendors, and current and possible future employees all want to know they are working with or for someone legitimate. Also, quality post-close reporting has the benefit of providing an information base from which a secondary market in an issuer’s securities may be built.

Planning ahead

The value of quality reports

In addition to maintaining compliance with the SEC’s rules and regulations, on-going reporting has other benefits. Customers, suppliers, vendors, and current and possible future employees all want to know they are working with or for someone legitimate. Also, quality post-close reporting has the benefit of providing an information base from which a secondary market in an issuer’s securities may be built.

SEC Compliance

Reporting requirements

In addition to detailing disclosure rules pursuant to which an issuer may offer and sell securities, the SEC also specifies after-market reporting requirements.

Capital Raising Exemptions

SEC Compliance

Reporting requirements

In addition to detailing disclosure rules pursuant to which an issuer may offer and sell securities, the SEC also specifies after-market reporting requirements.

Capital Raising Exemptions

Cost and Effort

Typical disclosure costs and time required

Compare our pricing to the SEC’s estimates of the time and cost of preparing and filing certain required forms in accordance with the Paperwork Reduction Act of 1986. The reason the SEC cost estimates are as high as they are is that each report is normally prepared on a custom basis with minimal automation. 

We are aiming to reduce these costs, yet still provide a high-quality, easy to read and understand report.

View Typical Disclosure Costs
View Fees

Cost and Effort

Typical disclosure costs and time required

Compare our pricing to the SEC’s estimates of the time and cost of preparing and filing certain required forms in accordance with the Paperwork Reduction Act of 1986. The reason the SEC cost estimates are as high as they are is that each report is normally prepared on a custom basis with minimal automation. 

We are aiming to reduce these costs, yet still provide a high-quality, easy to read and understand report.

View Typical Disclosure Costs
View Fees

Download our PDF FAQs

Download our Securities backgrounder.

FAQ - Form C-AR
FAQ - Form C-OS
Download PDF

Download our PDF FAQs

FAQ - Form C-AR
FAQ - Form C-OS

Download our Securities backgrounder.

Download PDF

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MarketBuilder© is a copyright of Silicon Prairie Holdings, Inc. All rights reserved. 

MarketBuilder documentation and consulting services are offered by Silicon Prairie Capital Partners LLC, an SEC/FINRA reporting broker dealer. These services are not securities or recommendations to purchase or sell such. All data reported is solely the responsibility of the provider and is not guaranteed.

MarketBuilder© is a copyright of Silicon Prairie Holdings, Inc. All rights reserved. 

MarketBuilder documentation and consulting services are offered by Silicon Prairie Capital Partners LLC, an SEC/FINRA reporting broker dealer. These services are not securities or recommendations to purchase or sell such. All data reported is solely the responsibility of the provider and is not guaranteed..