Funding your company through Regulation D


Created in 1982 and expanded by the JOBS Act, Regulation D offers private companies and entrepreneurs the ability to raise unlimited funds without the expense of bringing their company public. With the addition of 506(c) under the JOBS Act, companies can advertise their offering to potential investors in ways that were not allowed before.  


Unlimited funding


Unlimited number of investors, but subject to max allowable dollar limit


Max amount per investor restricted by income & networth


Investor disclosure required; subject to ongoing SEC reporting

Shares are restricted and cannot be sold for at least one year; a legal opinion is needed to remove restrictions


Advertising and general solicitation are not allowed

Privately held banks should maintain records
no differently than public banks.


If you choose to raise capital under Regulation D, including Rule 506(b) and 506(c), we have the experience to help you:

  • Convert paper certificates to electronic shares

  • Issue stock electronically or as a paper certificates

  • 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.


Let's talk about how we can help manage your investor records.