Interested in executing a Regulation A+ Offering? Frequently called a “mini-IPO” – the Regulation A+ program provides the capability for issuers to engage in general advertising and solicitation of the offering and allows accredited and non-accredited investors to participate. The program also allows for a fast track to becoming publicly trading or the issuer can opt to remain privately held.
Regulation D Resources provides comprehensive Regulation A+ Offering Preparation and Execution Support Services for Tier 1 and Tier 2 Regulation A+ exempt offerings. Our Regulation A+ Services Package includes Regulation A+ Offering Preparation and a Regulation A+ Investor Portal to promote the offering and manage investor subscription and compliance processes.
Regulation A+ Offering Preparation and Execution Support
Form 1-A Offering Statement and includes guidance and organization of needed Exhibits
Expert guidance provided on critical items such as offering structure, applicable SEC regulations, and terms of securities sold
Direct in-house EDGAR submission of Form 1-A Offering Statement and Exhibits to the SEC
Handling of any SEC comments and final submission of Offering Statement and Exhibits for final SEC Qualification
Assistance, coordination and recommendations for related vendors such as transfer agents and broker dealers
Comprehensive compliance support as the offering is executed and sold
Optional on-going reporting forms filing services (for Tier 2 Issuers – Form 1-U, Form 1-K and Form 1-SA filing services)*
* additional fees apply for filing services.
Regulation A+ Investor Web Portal
Build Development and launch of a Regulation A+ Investor Web Portal for management of the Regulation A+ offering, engagement of investor prospects, tracking of investment subscription processes, and investor management through the portal’s investor relations hub.
Our Regulation A+ Investor Web Portal provides the same subscription process tracking and investor management capabilities of our critically acclaimed Regulation D based investor portal software along with Regulation A+ specific features like Form 1-K and Form 1-SA filing reminders
Benefits of Using Regulation D Resources for Your Regulation A+ Offering:
Flat fee structure for Regulation A+ offering preparation services eliminates budget concerns related to unforeseen offering preparation costs
Highly experienced staff including our core team of securities attorneys
Custom Investor Web Portal application for administration and management of the offering and subscription processes is included in the Regulation A+ Service
In-house EDGAR filing services (included in the Services Fee) eliminates Filer Agent fees for the client’s Form 1-A submissions
Vendor recommendations for industry leading transfer agents, CPA's and broker dealers
Ability to customize our Investor Web Portal back-end to synchronize with transfer agent platforms
800 firm FINRA broker dealer community available to Regulation A+ clients
Comprehensive services with a “quarterback” approach to managing the process and coordinating vendors that reduces time, effort, and stress for the client
Regulation A+ Services Fee
The fee for our Regulation A+ Offering Preparation Services is a $35,000 flat fee paid using the following payment schedule (fees subject to change):
$12,500 Retainer payment to engage services
$12,500 due 30 days net from date of engagement
$10,000 due 60 days net from engagement
Web Portal hosting is $50/month with an annual renewal of $150.
For Tier 1 Issuers, additional hourly rate charges of $250 per hour will apply for work performed to qualify a Tier 1 Regulation A+ Offering at the State level. Tier 2 Regulation A+ Issuers are not subject to State qualification. Additional costs such as transfer agent fees, payable to a third party SEC approved transfer agent, may also apply as the Offering is executed.