DIRECT FUNDS
MBD Solutions assists alternative asset managers in compliantly offering their private securities offerings directly to investors.
Our Services
Many firms who are seeking to raise additional capital have considered conducting their own offering and utilizing the SEC’s Issuer Exemption Rule 3a4-1. This exemption allows certain individuals to avoid registering with a broker-dealer when they participate in the sale of their own companies’ securities. Although this appears to be an easy and effective way to obtain additional capital, the exemption is limited in scope and many issuer’s do not realize when they have reached the point where they can no longer safely rely upon the exemption and they continue to offer their securities outside of the safe harbor exemption. Unfortunately, a small error may result in serious consequences for the firm and the individual. This could include disciplinary action by the SEC and/or civil litigation.
Our knowledgeable team provides guidance to each of our clients on the most effective, economic and regulatory compliant model while meeting their offering and distribution needs. We are able to assist them with all aspects of registration, due diligence and compliance with the appropriate federal and state regulators allowing the offerings to continue as a properly exempt security.
