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Securities compliance is part of raising capital

For most people, a natural biological response to the phrase securities law requirements is the formation of a thin, opaque film over the outside of the cornea wall, coupled with a dull look and slumping shoulders. To avoid this, I will do my best to stick to the essentials. As a result, however, this article is far from comprehensive. So if your company is raising c......

Full article >>> re-empt state law requirements. If your company qualifies for one of these federal exemptions, there is virtually no need to be concerned by the state exemption requirements, except for simple filing or other minor requirements.

Rule 506

One commonly used super exemption is Rule 506. Below are some of its requirements:

As with most other exemptions, the off......

Full article >>> f the same state in which the issuer is incorporated.

However, neither Rule 504 nor Section 3(a)(11) is a super exemption in the sense that they pre-empt state laws, so the offering must also qualify for an exemption under the relevant state's Blue Sky laws.

Common exemptions in Wisconsin and Illinois

In Wisconsin, a common exemption is Section 551.23(10). The fo......

Full article >>> t Storms

Matt Storms: Raising capital through placement agents

Due diligence and corporate clean-up

Matt Storms: The mechanics of raising capital for your business By Matt Storms 11/16/06

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