Can My Company Legally Offer and Sell Securities Without Registering?

A Video FAQ with Mark A. Williams.

A company can legally offer and sell securities without registration depending on whether or not they fall within an exemption. So if you are going to offer an investment in your company, you really have to look at how much are you offering, where do the people live, where does your company do business, and with that information you can usually determine whether an exemption is available.

You also have to look at not just the SEC, but state law. If you don’t have to register with SEC, you may still have to register in one or more states. Every state has different types of exemptions so you have to look very carefully. Making an offering of securities is a very complicated process and you need to make sure to seek wise counsel when doing so.

© 2014 Parsonage Vandenack Williams LLC

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