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Raising Capital in the United States Don't Be Blind, Deaf and Mute

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Submitted by Marijuana News on Mon, 07/13/2015 - 10:12

Anyone raising capital (finders or company officers), absent an exemption (see Regulation D and employee, officer or director), for any company (private or public) through investors (including friends and/or family) is engaging in the sale of securities and must be registered with the Securities and Exchange Commission (SEC) under the Securities Act. Selling securities unregistered is considered illegal. 

The offer and sale of securities is regulated by both federal and state law, and the dual forms of regulation are independent from one another in many significant respects. In other words, compliance with federal securities law does not necessarily ensure compliance with state securities law. Further, the securities laws from one state to another can vary in material respects.

Generally speaking, the securities laws focus on three variables:

  • The securities being offered for sale
  • The parties who offer and sell the securities to investors
  • The disclosure provided to investors.
    • ...
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