capital market access
and broker dealer resources

Access to investors and the capital markets is a critical part of executing a successful offering. Our clients benefit from resources and assets developed over our 21 year operating history. Our FINRA Broker-Dealer asset base is over 1,100 U.S. based FINRA registered broker-dealer firms which provides clients an extensive resource for accessing broker-dealers that actively sell Regulation D and Regulation A+ private placements.

In addition to direct access to broker-dealers and market makers, RDR also provides specific guidance for the promotion and general advertising of Regulation A+ and Regulation D Rule 506(c) offerings. Both of these programs provide substantial capabilities for executing successful offerings using general advertising tactics and promotion directly to the public.

FINRA Broker Dealer Firms

One of the key advantages to executing a securities 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 21 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, engage in direct introductions to FINRA broker-dealer firms that specialize in the sale of Regulation D and Regulation A+ exempt securities offerings to investors. These select broker dealers are firms that RDR has close relationships with and through which RDR clients can potentially access the capital markets and retail investor capital.

Relationships with Platform Based Broker-Dealers

The JOBS Act of 2012 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 the JOBS Act – many broker-dealer firms created online platforms that allow their retail clients the capability to view and invest into Regulation D and Regulation A+ offerings on a direct basis.

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.

Regulation A+ and Regulation D Investor Portal Websites

For an additional fee, RDR clients can deploy a Custom Investor Portal Website with RDR’s exclusive Compliance Management back-end software to provide a dedicated web presence for promotion of the offering, incentivizing and tracking investor prospects access to the Offering Documents, and managing the subscription and investor verification processes online. See demos, screenshots, and more information on our 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 and Regulation A+ exempt private placement offerings. The changes under the JOBS Act of 2012 to Regulation D and Regulation A+ have provided small and medium size businesses with the capability to obtain maximum market exposure for their investment opportunities and securities offerings without having to complete a fully registered offering.

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