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Insights & Regulatory Updates
![Avoiding Fundraising Pitfalls: A Securities Lawyer’s Guide for Startups Raising Capital](https://images.squarespace-cdn.com/content/v1/66bbb773a4f8d343ac7a3f52/1727926279007-PQJG7Y1EEPYT7K472YLK/180516153902-start-investing-640x360.jpg)
Avoiding Fundraising Pitfalls: A Securities Lawyer’s Guide for Startups Raising Capital
For many entrepreneurs, raising capital is a necessary step toward building and scaling a successful business. However, raising capital isn’t just about convincing investors of your company’s potential—it’s also about navigating a complex web of federal and state securities laws. Failing to adhere to these regulations can result in serious consequences, ranging from penalties and rescission rights for investors to long-term barriers that impede your ability to raise funds down the road.
![Equity Crowdfunding: A Comparison of Reg A, Reg CF, and Reg D](https://images.squarespace-cdn.com/content/v1/66bbb773a4f8d343ac7a3f52/1726809793779-DC4QIZ06T2QJGV65WV0J/shutterstock_696138958.0.jpg)
Equity Crowdfunding: A Comparison of Reg A, Reg CF, and Reg D
In the ever-evolving landscape of modern capital formation, the avenues available to entrepreneurs are both myriad and complex. Navigating the regulatory intricacies of Regulation A (Reg A), Regulation Crowdfunding (Reg CF), and Regulation D (Reg D) transcends mere compliance; it is a strategic imperative that can profoundly shape the trajectory of a business. Each regulatory framework not only delineates specific parameters regarding investor eligibility and funding caps but also carries distinct implications for ongoing disclosure and market engagement.
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Broker-Dealers vs. Unregistered Finders in Capital Raising
Determining whether an intermediary operates as a finder or an unregistered broker-dealer is a nuanced and fact-specific inquiry that can present significant challenges. For unwary entrepreneurs, corporate executives, and equity fund sponsors, the stakes are high; engaging a third party that inadvertently crosses the line into broker-dealer territory can result in serious regulatory repercussions.