regulation a+ services

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.

Contact Regulation D Resources