Guide8 min read
Bad Actor Disqualification Under Regulation D
A single "bad actor" event among your fund principals can disqualify your Regulation D exemption. Who gets screened, what triggers disqualification, and how to check.
Securities & Investor Compliance
Regulation D exemptions, investor eligibility standards, accredited investor and qualified purchaser thresholds, and verification requirements.
5 guides21 terms10 FAQ
Featured Guide
Rule 506(b) vs 506(c): Choosing a Regulation D Exemption
Rule 506(b) prohibits general solicitation but allows up to 35 non-accredited investors. Rule 506(c) allows advertising but requires verified accredited investors only.
GuideOctober 12, 20259 min read
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Guide9 min read
The 100-Investor Limit: Counting Beneficial Owners Under 3(c)(1)
Section 3(c)(1) limits your fund to 100 beneficial owners. But counting investors is not as simple as counting names on your cap table.
Guide9 min read
Investor Verification Requirements Under 506(b) and 506(c)
Rule 506(b) allows self-certification. Rule 506(c) requires verified accredited status through specific methods. What each standard requires and how to implement it.
Guide10 min read
Section 3(c)(1) vs 3(c)(7): Choosing an Investment Company Act Exemption
Section 3(c)(1) limits your fund to 100 beneficial owners. Section 3(c)(7) has no investor limit but requires all investors to be qualified purchasers.
Guide10 min read
Accredited Investors, Qualified Purchasers, and Qualified Clients Compared
Three different investor standards govern who can invest in your fund and what fees you can charge. The thresholds and requirements differ significantly.
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