Securities Laws

How to Get a CIK to File a Form D

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Most investors in startups buy their securities. The most common security is a share of stock. When a startup decides to issue stock, it must register its stock offering with the Securities Exchange Commission (SEC) unless there is an exemption for the offering. I’ve written about the most common exemptions, in Regulation D. That regulation requires … Read more

The Three Regulation D Exemptions from SEC Registration of Securities

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The Three Regulation D Exemptions from SEC Registration of Securities

Let’s suppose that you have gotten your startup off the ground. You had a great idea. You organized your startup as a corporation. Next, you executed a unanimous consent to issue stock and begin business. Then you approved the corporate bylaws. Finally, you obtained an Employer Identification Number from the IRS. Now you are ready … Read more