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At the Most Affordable Rate...

Crowdfunding Benefits:

Exemptions from registration (Reg. CF and Reg. A)


Raise up to either (i) $1,070,000, or (ii) $50 million over 12 months


Issue free-trading shares (Reg. A)


Limited SEC disclosure


Limited financial statement requirements (Reg. CF and Reg. A Tier 1)


No PCAOB audit required (Reg. A Tier 2)


Non-accredited investors allowed


General solicitation allowed


For additional information on Reg. CF please click here


For additional information on Reg. A please click here

We Can Help!

Identify if a crowdfunding offering is right for your business


Draft the required offering documents


Qualify or approve the offering through the SEC


Connect you with third-party service providers to ensure the offering is a success


Comply with ongoing SEC filing requirements


What are the general requirements to satisfy Crowdfunding as an exemption from registration?

Under Regulation Crowdfunding:

All transactions under Regulation Crowdfunding must take place through an SEC-registered intermediary such as a broker-dealer or a FINRA-registered funding portal. A list of all FINRA-registered funding portals can be found here.

Companies are allowed to raise an aggregate of $1,070,000 in a 12-month period.

Investors are limited in the amount they can invest in crowdfunding in a 12-month period.

SEC disclosure is required in a Form C and subsequent filings.

What are the benefits and downsides of using Regulation Crowdfunding as an exemption from registration?

The benefits to using a Regulation Crowdfunding exemption are as follows:

Issuers may offer and sell to investors who are not “accredited investors;”

Issuers may conduct concurrent private offerings (such as pursuant to Rule 506(c) of Regulation D);

Issuers are subject to limited SEC reporting requirements; and

Broadens issuer shareholder base.

The downsides to using a Regulation Crowdfunding exemption are as follows:

Offers and sales must be made through an intermediary;

Issuers relying on Regulation Crowdfunding must file a Form C with the SEC which must include financial statements;

Investors may only invest subject to certain limitations;

Securities sold in Regulation Crowdfunding offerings generally cannot be resold for one year;

Bad-actor disqualifications apply to Regulation Crowdfunding offerings; and

Investors who are not high net-worth individuals are not accustomed to investing in high-risk small companies which means they may require more attention than high net-worth individuals.

What are the requirements for financial statements in a Regulation Crowdfunding offering?

What are the investor limitations in a Regulation Crowdfunding offering?


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