Consultation and Exemption Selection
Raising capital through the sale of securities requires careful navigation of federal and state securities laws. Most private offerings must qualify for an exemption from the SEC's registration requirements, and selecting the right exemption is critical to a successful, compliant capital raise. Ahmad & Hussain Law Group consults with businesses and entrepreneurs to evaluate their capital-raising goals and identify the exemption that best fits their situation.
We advise clients on the full range of available exemptions — including Regulation D (Rules 506(b) and 506(c)), Regulation A+, Regulation CF (crowdfunding), and state-level exemptions. Each has different investor eligibility requirements, offering limits, disclosure obligations, and ongoing compliance considerations that we analyze before recommending a course of action.
- Analysis of Regulation D, A+, CF, and state exemptions
- Investor eligibility and accreditation assessment
- Offering size and structure guidance
- Federal and state compliance requirements review
- Blue sky law compliance across multiple states
- Ongoing regulatory guidance throughout the offering
Our Consultation and Exemption Selection Services
Understanding which securities exemption is right for your offering is the essential first step in any capital raise. Our attorneys guide you through this analysis with clarity and precision.
Exemption Analysis & Selection
We evaluate your offering structure, investor base, and capital needs to identify the most appropriate and efficient securities law exemption.
Regulatory Compliance Guidance
Our attorneys explain the specific compliance requirements of your chosen exemption — including filing obligations, investor limits, and disclosure standards.
State Law (Blue Sky) Review
We assess state securities law compliance requirements for offerings made to investors across multiple jurisdictions and guide you through notice filing obligations.
Frequently Asked Questions
Rule 506(b) allows companies to raise unlimited capital from up to 35 non-accredited but sophisticated investors and an unlimited number of accredited investors. General solicitation is not permitted. It is the most commonly used private placement exemption.
Rule 506(c) allows general solicitation and advertising but requires all investors to be accredited investors and requires the issuer to take reasonable steps to verify their accredited investor status. Rule 506(b) prohibits general solicitation but allows a limited number of non-accredited investors.
Yes. Even for exempt offerings, most Regulation D offerings require filing a Form D with the SEC within 15 days of the first sale. Many states also require notice filings. We handle these filings as part of our securities offering services.
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