Regulation A

Regulation A Issuer Dealer Services

Issuer-dealer registration in regards to Regulation A offerings involves companies seeking to issue and sell securities to the public through a streamlined process. This registration allows them to act as both the issuer of the securities and the dealer handling the transactions. With Regulation A offerings, businesses can access capital markets efficiently while complying with SEC regulations, making it an attractive option for companies looking to raise funds and expand their investor base.

Regulation A, often referred to as Reg A or Reg A+, is an exemption from full registration under the U.S. Securities Act of 1933. It allows companies to raise capital through public securities offerings without going through the cumbersome and expensive process of traditional SEC Registration Statements, which are often used for IPOs. By providing streamlined and less reporting requirements, Reg A democratizes access to capital for smaller companies, making it an attractive option for startups, emerging businesses, and even more established enterprises.

  1. With our experience and knowledge, you are sure to get the best advice and results in your issuing and dealing services.
  2. We can help directly with forms and any necessary paperwork while also offering structure on the overall process and documentation.
  3. We have the resources to properly market your offering, ensuring the best results for you as the issuer and the dealer.

Reg A Tiers

There are two tiers of Regulation A offerings:

  • Tier 1: Allows companies to raise up to $20 million in a 12-month period. Companies opting for Tier 1 offerings need to comply with state securities laws, which may vary from state to state.

  • Tier 2: Allows companies to raise up to $75 million in a 12-month period. Unlike Tier 1, companies conducting Tier 2 offerings are exempt from state securities laws and can benefit from the Blue Sky exemption.

    Key Benefits of Regulation A Offerings

    Cost savings and streamlining compliance, why you should look into Reg A offerings as an issuer-dealer.

      Wider Investor Pool

      Reg A offerings enable companies to attract both accredited and non-accredited investors, expanding their potential investor base significantly.

         Reduced Reporting Requirements

        Compared to traditional IPOs, the ongoing reporting requirements for Regulation A issuers are less burdensome, easing compliance efforts.

          Public Marketing

          Unlike some private offerings, Reg A offerings allow companies to publicly market and advertise their securities, increasing exposure and investor interest.

            Liquidity and Trading

            Securities offered through Regulation A may be freely tradable, providing liquidity to investors and potentially increasing the marketability of the securities.

              Testing the Waters

              Issuers can "test the waters" and gauge investor interest before fully committing to the offering, allowing them to refine their approach based on feedback.


                Reg A Tier 2 offerings allow for a mini-IPO onto OTC, NASDAQ, and the NYSE. We can help you prepare and meet the requirements for these types of IPOs through our consulting services.

                  Issuer-Dealer Services

                  Issuer-dealer services play a crucial role in facilitating Regulation A offerings. An issuer-dealer is a financial firm or institution that acts both as the issuer of the securities and the broker-dealer responsible for selling them. These services are essential in helping companies navigate the complexities of the fundraising process, ensuring compliance with relevant regulations, and providing guidance throughout the offering.

                  The roles and responsibilities of issuer-dealer services include:

           assists companies in understanding and adhering to the regulatory requirements governing Regulation A offerings. They ensure that all necessary Issuer Dealer registration and sales agent filings are completed accurately and on time.

             can aid and provide consulting in structuring the offering, including determining the appropriate tier (Tier 1 or Tier 2) and preparing the required state documents associated with the issuer registrations and sales agent filings.

                        After the initial Issuer Dealer and Sales Agent registration is completed and approved, issuer dealer services will continue year-round until your next renewal period, in which our system will automatically process and notify you of new documents needed to be processed.

                          We are partnered with various crowdfunding marketing companies that can help market your offering if you don’t have someone to do that already. They help companies effectively market the offering to potential investors. They provide support in crafting marketing materials and strategies and notifying people about your offering.

                          Regulation A offerings present an exciting opportunity for companies to access capital from a broader pool of investors without the complexities of a full IPO. By engaging the services of, businesses can navigate the regulatory landscape with confidence, ensuring a smooth and successful fundraising campaign.

                          As the financial industry continues to evolve, issuers wishing to become issuer dealers and sales agents will likely increase and play an increasingly vital role in fostering innovation and growth in the business world.

                            Marketing Your Offering

                            Regulatory Compliance

                            All-Year Support

                            Offering Structure and Documentation