Raising Capital—Private Offerings, Reg D Exemptions, and Use of a “Form D”

Raising capital for a new or growing company can be a challenging process, not only because it involves convincing people and investors that the company is worth investing money  into and its growth potential, but also because it can involve a myriad of complicated legal issues. Most capital raises involve the use of an attorney, ideally one that is knowledgeable in the area of the private offering of securities and understands the complexities of private offerings at the federal and state levels. This blog post will spend a few paragraphs setting the background for private offerings and the “exemptions” used and then go to describing the Form D that is filed with the Regulation D exemptions and what info, if any, parties interested in obtaining information on “deals” in Iowa can take from those Form Ds that are filed with the Securities and Exchange Commission (“SEC”).