PRIVATE PLACEMENTS

Get Legal Help before Making a Private Offering

Company owners seeking financing may wish to undertake a private securities offering. Before you start soliciting investments from shareholders, you may want to know that all of the following are considered advantages of offering securities through private placements only to accredited investors under Rule 506 of Regulation D promulgated under the Securities Act of 1933:

a. the offering can be made in a relatively short period of time;

b. the offering is exempt from registration with the SEC;

c. the offering is exempt from investor information delivery requirements; and

d. the issuer is not required (usually) to comply with periodic reporting provisions of federal securities laws.

Companies making private offerings need to make certain that the offering is made in compliance with the applicable securities laws. The type of offering described above may be relatively easier, but you need to conduct the offering in accordance with the applicable requirements, including with respect to making multiple filings.

If that exemption described above is not available, then another exemption from the draconian registration and qualification requirements must be found. It is important that you get sound legal advice about your private offering.

Legal Services for Issuers of Private Offerings

Nick Yocca represents issuers and advises them on securities offerings to raise funding for their business ventures by selling securities. Most frequently, these private offerings are structured to be exempt from SEC registration requirements and State "Blue Sky" qualification requirements under Rule 506 of Regulation D promulgated under the Securities Act.  We can provide advice and asistance with the alternatives if a Rule 506 exemption is not available.

Services for Individual Investors in Private Offerings

Before you invest in private securities, know what you are buying. Read through the documents that have been prepared by the stock promoter. Do your homework. We often advise individual investors concerning private investments they might want to make. We advise only the investor in any given deal, and if we represent any investor, then in that deal we would not represent the issuer in any capacity so that we can always provide our best independent advice.

Extensive Experience On All Sides of Private Securities Issues

Nick Yocca has worked with corporations, partnerships, limited liability companies and other companies seeking outside investors, whether a startup company, a public company seeking private investors.  Nick Yocca also works with individuals considering making an investment in a private offering of securities.