securities

Posts about raising money

Raising Capital: The Ultimate Strategic Guide to Funding Your Startup

Raising capital is a sales job. And for most of us, selling is hard. But with the right approach—the knowledge, tools, and mindset—it doesn’t have to be. Even if you’ve never sold a thing and the idea of it unnerves you, you can learn to sell investors on your idea, your team, and yourself. This is a guide to raising capital drawn from my first- and second-hand experience, and from the experience of veteran investors…

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Raising Capital Will Change Your Business

Raising capital will change your business. Take the decision seriously.

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Financing is a Tactic not a Goal

Raising capital is not a win, or even a touchdown. It’s a kickoff.

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Founder Beware! Raising capital through a “finder” can destroy your business.

Capital is the lifeblood of a startup company. But for founders without ties to angels and venture capital, raising capital can feel impossible. Many founders turn for help to finders—service providers who help raise capital, for a fee. But what they don’t realize is that finders are acting as securities brokers without proper certification and registration. And by working with a finder, the entrepreneur and her company are exposed to draconian penalties and investor liabilities…

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What are Restricted Securities?

Restricted Securities are securities sold without registration under the Securities Act of 1933.

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The Rules of Regulation D: Selling Equity without a Securities Registration

A closer look at the rules of Regulation D that allow a securities issuer to make an unregistered, private placement of securities.

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Regulation D: Private Sales of Securities

Every securities transaction is registered, exempt, or illegal. The SEC issued Regulation D as a safe harbor for exempt transactions. It is the principal rule for making an unregistered, private sale of securities.

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Registered, Exempt, or Illegal

The fundamental rule of U.S. securities law is that every transaction involving securities must be registered or exempt from registration. Otherwise it’s illegal.

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Procedure Matters

Fairness and efficiency matter. They’re core concepts in our legal system. For the average person, fairness and efficiency are the yardsticks used to measure all judicial outcomes. So it’s quite easy for us to overlook the importance of procedure. But procedure matters. A lot.

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