STEP 4choose your legal compliance strategy
In chapter 3 of part 1, I provided an overview of the legal requirements for offering investment opportunities (i.e., securities law). Let’s quickly recap that overview so we can dive into the details of the options that are available.
A security is any arrangement that allows the contributor of funds to receive a financial return on his or her investment, usually in the form of interest or a share of profits or an appreciation in the value of the investment. All of the investment instruments discussed in step 3 are securities.
No matter how creative you get with what you’re offering to investors, chances are it will be covered by securities law.
You need a securities compliance strategy for both federal ...
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