Regulation A

What if “main street” businesses could conduct public offerings of their stock or debt that regular people could trade without the expenses and regulation associated with the normal “IPO”?

Regulation A was one of the most transformative changes in American securities law under the JOBS Act and many US companies are swiftly seizing on the capital-generating potential Regulation A provides. Kaplan Voekler Cunningham & Frank PLC was a leader making Regulation A workable for mid-size and smaller businesses across various industry sectors, working with Congress and the Securities and Exchange Commission to make Regulation A a workable reality.   Our team offers unique experience in this newly unlocked capital opportunity for businesses. Our team is able to advise companies, entrepreneurs, financial advisers, venture capitalists, investment bankers, brokers and securities lawyers alike on how to raise capital through Regulation A.

KVCF’s expertise in Regulation A includes:

  • Securities and Exchange Commission filing and reporting compliance
  • FINRA regulation of broker-dealers for Regulation A offerings
  • State securities regulation and exemptions
  • Marketing compliance and strategy
  • Evaluation of Regulation A as capital opportunity

 
Do you have legal needs in the area of Regulation A? Contact us to discuss how we can help.