Regulation A - Testing the Waters

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Regulation A - Testing the

Waters!

Disclaimer

This is not legal or investment advice of any kind

Seek competent advice from qualified attorneys and investment bankers

Your situation may vary

The more you know about finance and business, the more you can profit


This is part of a series on Regulation A, so subscribe here for more and to learn more, go

to www. TheSecuritiesAttorneys.com

and get a free copy of our book

“How to Go Public”


If you are a new, unknown and risky company how do

you know investors will buy your

stock?


Wouldn't you like to know that they are likely to buy

before you pay all the expense of an

offering?


The new Regulation A

allows you ”test the waters”

to see if your offering will

attract investors

You can use “testing

the waters” materials, or advertising

materials, both before and after the

filing of the offering statement

You can talk to small investors as

well as large accredited investors

After publicly filing

with the SEC you must include a

current preliminary circular or

information on where one can be

obtained

You must file

solicitation materials as an

exhibit when the offering statement is either submitted

for non-public review or filed and

updated

However, you are no longer required to submit solicitation

materials at or before the time of

first use

You must use a legend or disclaimer indicating that: (1) no money or other consideration is being solicited, and if

sent, will not be accepted; (2) no sales will be made or commitments to purchase

accepted until the offering statement is qualified; and (3) a prospective

purchaser’s indication of interest is non-binding

Testing the waters should prove

helpful to companies in

assessing their opportunities

Please remember that

not all prior indications of interest will be honored by the

time your offering is qualified by the SEC and you can

accept money


Want to know more? – email me at John.Lux@ Securities-Law.info

(240) 200-4529

John E. Lux was in

the top 5% of authors on

Slideshare in 2014 and has been

quoted by Bloomberg as an expert on reverse

mergers


This is part of a series on Regulation A, so subscribe here for more and

to learn more, go to www. TheSecuritiesAttorneys.com

and get a free copy of our book

“How to Go Public”

Regulation A - Testing the Waters

Business

Transcript of Regulation A - Testing the Waters