Every year, small, medium and large businesses require investment capital for running their day-to-day operations or for growth. Some of these businesses turn to raising investment capital from individual investors, broker dealers, or institutional investors. This book provides a detailed summary of the multitude of securities exemptions available to businesses for raising capital from investors.
The complexities of the capital raising process can be daunting for business owners. This is because there are many law firms in the country that can provide general securities legal guidance, but few of them have any actual hands-on experience with the capital raising process as lawyers generally practice law and bankers and broker dealers raise capital. This book is written by lawyers, who have intimate knowledge of the securities laws and the capital raising process, due to the fact that Centarus Legal Services, PC is affiliated with a nationally recognized broker dealer. In addition, this book’s authors are securities legal experts who collectively have over 60 years of experience providing capital raising advice and drafting offerings for companies that are seeking to raise capital from investors.
The authors have written it in a way that is intended to distill the essence of the capital raising process into a set of easily understandable capsule summaries, which are at the end of each chapter. Specifically, each chapter addresses the key question that most business owners and lawyers wish to know: ‘why is this information important to me.’
This book is intended to be used as a desktop reference for both business owners, executives and lawyers since it provides both a summary view and a detailed view of the securities laws and various approaches to applying it.
Table of Content
1. What is a Security?
2. When is a Promissory Note a Security?
3. When Would I Want to Rely on a Private Placement Exemption?
4. Which Public Offering Exemptions Exist?
5. When Would I Want to Undertake an Initial Public Offering?
6. What is Involved in Reselling Restricted Securities?
7. What is Necessary to Raise Capital From Investors in a Private Offering?
8. Who Can Sell My Securities and Raise Capital For Me For a Fee?
9. Funds and Investment Advisors
10. When Should an Offering be Updated or Supplemented and When Should it be Rescinded?
11. Sample Forms
About the author
Steve Forbes has been a practicing attorney for over 25 years. In addition, hewas formerly a Certified Public Accountant. His practice concentration is corporate and securities law, and he has represented many public and private companies acting as acquirors or sellers in mergers, stock and asset acquisitionsand divestitures, takeovers (negotiated and contested), venture capital transactions, restructurings, joint ventures and other strategic alliances. Mr. Forbes alsohas been involved in numerous initial public offerings, debt and equity underwritings, and private placements, representing companies issuing securities and investment bankingfirms acting as underwriters or placement agents. He holds a BAA and an MBA from University of Wisconsin, and a JD from University of Wisconsin School of LawMore ebooks from the same author(s) / Editor
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