Syndication Articles

How do I Create a Substantive Relationship?

How do I Create a Substantive Relationship?

Question: If I am doing a 506(b) offering, do I still need a pre-existing substantive relationship before I can solicit from an Accredited Investor (AI)?  If “yes,” is there still any waiting period after I get that Accredited Investor to sign a document attesting to...

read more

Why You Need a PPM When Selling Securities

We often get asked if we can create an all-accredited offering with no Private Placement Memorandum (PPM). The answer is yes, but unless it’s going to include a very small group of investors whom you know extremely well, we don’t recommend it. You save money upfront...

read more

What’s in a Securities Offering?

A private placement securities offering includes a number of documents, which collectively comprise the offering package. Each document has the specific purpose described below: The Private Placement Memorandum The private placement memorandum (PPM) essentially “tells...

read more
FINCEN is Coming to a Lender Near You

FINCEN is Coming to a Lender Near You

Don’t Let the Corporate Transparency Act  Prevent Your Loans From Closing! The Corporate Transparency Act, which takes effect January 1, 2024, requires obtaining and reporting identifying information to the United States Financial Crimes Enforcement Network...

read more

Articles from Our Library