506(c) offering promotion
and broker dealer resources

Access to investor capital is a critical part of executing a successful offering. Our clients benefit from FINRA Broker-dealer resources developed over our firm’s 20 year history. The advent of general advertising under Regulation D Rule 506(c) has added additional capabilities for our clients to execute successful offerings using general advertising tactics and promotion to raise capital from accredited investors.

Since our inception in 1999, Regulation D Resources has developed an extensive matrix of FINRA broker dealer resources for Regulation D exempt private placement offerings. These resources provide our clients unprecedented access to FINRA listed and regulated broker dealers and the capital markets they service.

Our FINRA broker-dealer resources include:

FINRA Broker Dealer Firms

One of the key advantages to executing a Regulation D exempt offering is the capability to access licensed securities professionals to assist you in sourcing investors. We provide our clients access to over 1,100 FINRA listed broker-dealer firms that engage in the sale of private placement offerings to investors. No other firm maintains a FINRA broker-dealer community of this type providing access to licensed FINRA firms that handle the sale of private placement transactions. This community has been developed over 16 years of operation and is an extremely valuable asset to our clients seeking promotion to investors through broker-dealers.

RDR Broker-Dealer Referrals

Regulation D Resources can potentially, at RDR’s sole discretion, provide referrals to FINRA broker-dealer firms that specialize in the sale of Regulation D exempt securities offerings to investors.

Relationships with Platform Based Broker-Dealers

Regulation D 506(c) changed the landscape for raising capital from investors. It also changed how broker-dealers engage in promotion and distribution of an offering to its retail investor client base. In response to 506(c) – there are several broker-dealer firms that created online platforms that allow their retail clients the capability to view and invest into 506(c) offerings. These are sophisticated platforms that allow a retail investor the capability to view an offering and invest through the platform using funds from their brokerage account. Regulation D Resources has relationships with most of the key broker-dealers that developed these platforms and these relationships provide our clients the potential for exposure to investors that are represented through these broker-dealer firms.

Custom 506(c) Investor Portal Website

For an additional fee, RDR clients can deploy a Custom 506(c) Investor Portal to provide a dedicated web presence for the offering, incentivize investor prospects to access the PPM, and manage the subscription and verification processes online. See demos, screenshots, and more information on our Custom 506(c) Investor Portals at our Investor Portal information page.

Since our inception in 1999, Regulation D Resources has steadily developed and expanded a matrix of resources that provides our clients with maximum exposure for their Regulation D exempt private placement offering. No other private placement advisory firm provides the scope of capital access and investor promotion resources as Regulation D Resources.

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