Monthly Archives: January 2013

Pre-Existing Substantive Relationship Requirement With Investors

If an offeror is making an offering that does not allow public advertising, such as a traditional Rule 506 offering, then according to the SEC a pre-existing substantive relationship is required before a potential investor can invest. Specifically, the SEC … Continue reading

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Using the Reg. S Exemption for Foreign Investors

Foreign investors in U.S. companies can be handled one of two ways. One way to deal with non-U.S. investors is to treat them exactly like U.S. investors. Another option, though, is to use federal Regulation S with foreign investors. Using … Continue reading

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