Revisions to Regulation A allow companies to raise money from both accredited and non-accredited investors, under two tiers. Companies that raise capital under Tier II, also known as Regulation A+ or the “mini IPO,” must engage an SEC-registered transfer agent to keep track of their investor records.
Tier I: Max of $20M per 12 month period
Tier II: Max of $50M per 12 month period
Unlimited number of investors
Max amount per investor unrestricted
Investor disclosure required; subject to ongoing SEC reporting
No restrictions on the shares
Advertising and general solicitation is permitted
Bringing Experience and Expertise to an Innovating Hybrid Capital Raise and IPO
Keeping accurate investor records and staying up to speed on important compliance issues can be costly and time consuming. Luckily, we’ve been offering transfer agency services for decades and can help you:
Complete required EDGAR filings for Reg A+ forms such as Form 1-A, Form 1-K and Form 1-SA.
Convert paper certificates to electronic shares
Issue stock electronically or as a paper certificate
Process legal transfers of ownership, including restricted securities
Easily communicate with your investors via email or postal mail
Issue payments and distributions to your investors via check, wire or direct deposit in dozens of currencies
Hold an annual or special investor meeting and manage proxy voting
Monitor investor information via the web and on-demand reporting
Give investors access to view their holdings, download tax forms and more
Track your cap table
We can support your needs as your company grows and evolves.
