regulation CF services

Regulation CF allows companies to raise up to $5,000,000 in a 12 month period. These offerings are allowed to be publicly promoted and the issuer can raise investment funds from accredited and non-accredited investors alike.

Regulation D Resources specializes in the preparation of ‘Direct’ Reg CF Offerings. The benefit of a ‘Direct’ Reg CF Offering is in allowing an issuer to execute a Reg CF offering on a raise portal website built for the issuer’s company and offering. This custom raise portal website is then launched with and administered by a FINRA Broker Dealer through the term of the raise which provides the issuer with a “mini Regulation A+” offering in terms of investor acquisition capabilities and the investor subscription experience without the costs and preparation timeframes associated with a Regulation A+ offering.

'Direct' Regulation CF Services

  • Drafting of Reg CF Offering Disclosure Circular
  • Structuring Guidance
  • Drafting, EDGAR conversion, and SEC submittal of Form C
  • Development of Investor Prospect Engagement web page for Broker Dealer managed sales platform
  • Technology coordination with Transfer Agent and Broker Dealer CF Sales Platform to ensure efficient and seamless launch of the offering
  • On-Going Compliance Support

What is a 'Direct' Reg CF Offering

The original Reg CF rules required that all CF offerings execute through an SEC approved CF Platform. While many of these platforms were developed and are operating, they tend to be very expensive to utilize (8-11% commissions and 2-3% equity along with CF preparation and Form C filing fees).

A “Direct” CF offering takes advantage of a recent rule change that allows approved broker dealer intermediaries to engage in administration of a Reg CF platform. This allows the CF Issuer to bypass the existing expensive Reg CF platforms and execute "direct" to investors using a broker dealer managed website portal for executing the securities sales.

The benefit of a “Direct” Reg CF Offering using our services is a fully SEC compliant sales process at 1/3 the cost of using a traditional Reg CF Platform.

Regulation CF Services Fee

The fee for our Regulation CF Offering Preparation Services is a $12,000 flat fee paid using the following payment schedule (fees subject to change):

  • $6,000 Retainer payment to engage services
  • $6,000 due 30 days net from date of engagement
  • Additional fees for broker-dealer intermediary commissions, escrow and transfer agent services payable to third party vendors

Interested in executing a Regulation CF Offering? Call us today to discuss the Regulation CF Program and our services: (720) 586-8610

Questions about how we can help your offering? Call us! 720-586-8610

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