Compliance is what keeps a private raise from becoming a problem later. The firm identifies the exemption, prepares the filings, and advises on what the company owes its investors after the money comes in.
Exemptions
Federal law exempts certain private offerings from registration, and Florida has its own rules that work alongside the federal ones. Each exemption has conditions about who may invest, how the offering may be marketed, and what must be disclosed. The firm matches the offering to an exemption before it starts, because an offering that fits no exemption can give investors the right to their money back.
Filings and notices
Most exempt offerings require a notice filing with the Securities and Exchange Commission shortly after the first sale, and some require state notices or fees. The firm prepares and tracks them.
Ongoing obligations to investors
Information the governing documents promise, annual financials or tax forms, notice of major events, and the approvals investors were given a right to. The firm sets up a calendar so the company meets them.
When something has already gone wrong
Money taken without documents, an offering that was advertised too widely, or a filing that was missed. The firm reviews what happened and advises on the options.
Contact the office to check an offering before or after it closes.