Regulatory & Compliance
How to Read a Private Fund's SEC Form D Before You Invest: A Checklist for Accredited Investors
TL;DR: Form D is a notice, not a prospectus. The SEC's own FAQ on Form D confirms it: issuers file it after they sell securities, not before, and it discloses the deal's legal skeleton, not its...
Jeff Barnes, MBA··10 min read
Regulatory & Compliance
The Regulation D Offering: A Practical Guide for Founders and Fund Managers
A $3 million seed round closed last quarter by a San Francisco B2B SaaS company. No investment bank. No registered public offering. No SEC registration statement filed months in advance. Just a well-structured...
Jeff Barnes, MBA··10 min read