In today’s video post, I will provide a general overview of Rule 3a4-1 of the Exchange Act of 1934, as amended, which provides a non-exclusive safe harbor exemption for bona-fide partners, officers, directors, and employees of an issuer which allows them to help promote and sell securities to investors provided the rules are followed. Click the video below – I will be covering some of the Do’s and Don’ts when soliciting investors that will keep you out of trouble with regulators.
If you have any questions about raising capital, soliciting investors or any private securities offering related questions… please feel free to contact me.
Darin H. Mangum, Esq. (ThePPMAttorney.com)
Securities Attorney Darin Mangum (“the PPM attorney”) helps entrepreneurs, start up companies and growing businesses over come the regulatory pitfalls accompanied by raising capital, by providing a custom crafted private placement memorandum (PPM) to keep them in compliance with the ever changing regulatory laws.