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www.TheSecuritiesAttorneys.com
Reg A –
Integration with
Your Other
Offerings
www.TheSecuritiesAttorneys.com
Integration is the
doctrine that is
used to determine if
one offering is part
of another
This is important
because you may be
in unintentional
violation of the rules
if one sale of stock is
determined to be part...
The new Reg A
provides a “safe
harbor” rule on
integration
You can easily tell
whether or not
some stock sales
you made are
determined to be
part of the Rule
A Regulation A
offering will not
be integrated
with:
prior offers or sales
of securities; or
subsequent offers or
sales of securities
that are:
registered under the
Securities Act,
except as provided
in Rule 255(e)
[abandoned
offerings];
made in reliance on
Rule 701; [as part
of written
compensation
agreements to
employees, and
others]
made pursuant to
an employee
benefit plan;
made in reliance on
Regulation S
[offerings outside
of the U.S.];
made pursuant to
Section 4(a)(6) of
the Securities Act
[crowdfunded
offerings]; or
made more than six
months after the
completion of the
Regulation A
offering
www.TheSecuritiesAttorneys.com

Want to know
more? – email
me at John.Lux@
Securities-
Law.info

(240) 200-4529
John E. Lux was in
the top 5% of
authors on
Slideshare in
2014 and has
been quoted by
Bloomberg as an
expert on reverse
me...
www.TheSecuritiesAttorneys.com
To learn more, go to
www.
TheSecuritiesAttorneys.com
and get a free copy of our book
“How t...
Disclaimer

This is not legal or
investment advice of any
kind

Seek competent advice
from qualified attorneys
and inves...
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Regulation A Integration with Your Other Offerings

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http://www.TheSecuritiesAttorneys.com Reg A – Integration with Your Other Offerings
Integration is the doctrine that is used to determine if one offering is part of another. This is important because you may be in unintentional violation of the rules if one sale of stock is determined to be part of another offering and they do not fit together.

The new Reg A provides a “safe harbor” rule on integration. You can easily tell whether or not some stock sales you made are determined to be part of the Rule.

A Regulation A offering will not be integrated with: prior offers or sales of securities; or
subsequent offers or sales of securities that are: registered under the Securities Act, except as provided in Rule 255(e) [abandoned offerings]; made in reliance on Rule 701; [as part of written compensation agreements to employees, and others] made pursuant to an employee benefit plan; made in reliance on Regulation S [offerings outside of the U.S.]; made pursuant to Section 4(a)(6) of the Securities Act [crowdfunded offerings]; or
made more than six months after the completion of the Regulation A offering

www.TheSecuritiesAttorneys.com Want to know more? – email me at John.Lux@ Securities-Law.info (240) 200-4529 John E. Lux was in the top 5% of authors on Slideshare in 2014 and has been quoted by Bloomberg as an expert on reverse mergers
To learn more, go to www. TheSecuritiesAttorneys.com and get a free copy of our book “How to Go Public”

Disclaimer This is not legal or investment advice of any kind Seek competent advice from qualified attorneys and investment bankers Your situation may vary The more you know about finance and business, the more you can profit

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Regulation A Integration with Your Other Offerings

  1. 1. www.TheSecuritiesAttorneys.com Reg A – Integration with Your Other Offerings
  2. 2. www.TheSecuritiesAttorneys.com Integration is the doctrine that is used to determine if one offering is part of another
  3. 3. This is important because you may be in unintentional violation of the rules if one sale of stock is determined to be part of another offering and they do not fit together
  4. 4. The new Reg A provides a “safe harbor” rule on integration
  5. 5. You can easily tell whether or not some stock sales you made are determined to be part of the Rule
  6. 6. A Regulation A offering will not be integrated with:
  7. 7. prior offers or sales of securities; or
  8. 8. subsequent offers or sales of securities that are:
  9. 9. registered under the Securities Act, except as provided in Rule 255(e) [abandoned offerings];
  10. 10. made in reliance on Rule 701; [as part of written compensation agreements to employees, and others]
  11. 11. made pursuant to an employee benefit plan;
  12. 12. made in reliance on Regulation S [offerings outside of the U.S.];
  13. 13. made pursuant to Section 4(a)(6) of the Securities Act [crowdfunded offerings]; or
  14. 14. made more than six months after the completion of the Regulation A offering
  15. 15. www.TheSecuritiesAttorneys.com  Want to know more? – email me at John.Lux@ Securities- Law.info  (240) 200-4529
  16. 16. John E. Lux was in the top 5% of authors on Slideshare in 2014 and has been quoted by Bloomberg as an expert on reverse mergers
  17. 17. www.TheSecuritiesAttorneys.com To learn more, go to www. TheSecuritiesAttorneys.com and get a free copy of our book “How to Go Public”
  18. 18. Disclaimer  This is not legal or investment advice of any kind  Seek competent advice from qualified attorneys and investment bankers  Your situation may vary  The more you know about finance and business, the more you can profit

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