Guiding You Through The Legal Process

Understanding Your Options With Private Offerings

If your business is looking to raise capital, consider a private offering of securities. Businesses can only succeed if they have enough capital to continue with daily operations. However, by raising money through a private placement, you are subject to Securities and Exchange Commission (SEC) regulations, such as Regulation D. This requires the experience of a New York securities attorney who can facilitate the entire process.

At M. Bradford Randolph, Esq., PLLC, we help businesses with their private offerings, which can allow a sale of securities without SEC registration. We have extensive knowledge in securities and business law, which is crucial to getting through the entire private offering process successfully. Failure to comply with securities regulations can mean serious consequences and liabilities.

Call 212-235-1456 to speak with a knowledgeable New York City private offerings attorney about your private placement questions.

Ensuring Regulation D Securities Compliance

Regulation D (Reg D) was put in place by the SEC in order to closely monitor private placement offerings. Rule 10b-5 requires that issuers disclose information to investors that is relevant to their investment decisions. Failure to properly disclose enough information may mean serious liability.

In order for a business to sell securities to the public, they must be registered with the SEC. Some Regulation D securities can be exempt from registering with the SEC. However, certain prohibitions apply, such as no advertising or solicitation of an offering to the public.

Compliance is complex, and you do not want to risk liability. Obtain the advice of an attorney. We can discuss your particular business needs. We also offer representation for commercial litigation and small-business litigation.

We Are Here To Help

If you need help with the legal aspects of a private securities offering, contact our Manhattan firm online or by telephone at 212-235-1456.

Foreign language translation services are available.