Review Equity Offering Marketing Compliance
Budget: $50 – $0 USD
I have a short packet of marketing materials for an upcoming equity private placement and I want to be certain every claim, disclaimer, and call-to-action lines up with SEC regulations, FINRA rules, and the pertinent state securities laws. Your primary brief is legal compliance; clarity and style edits are secondary and only if they affect regulatory language.
The content is fewer than 20 pages (pitch deck plus one-page teaser). I will supply the current drafts in PDF and PowerPoint along with the subscription documents we reference so you can verify cross-consistency.
For acceptance I will need:
• A marked-up version (comments or track changes) calling out each compliance concern and the specific rule or statute it touches.
• A concise memo that groups the issues, cites the exact SEC, FINRA, or state authority, and proposes compliant language.
Turnaround of three business days is ideal, but let me know if you need slightly longer.
If you have recent experience reviewing private placement marketing—especially under Reg D, Rule 506—and are comfortable navigating FINRA 2210 interpretations, this should be straightforward.
The content is fewer than 20 pages (pitch deck plus one-page teaser). I will supply the current drafts in PDF and PowerPoint along with the subscription documents we reference so you can verify cross-consistency.
For acceptance I will need:
• A marked-up version (comments or track changes) calling out each compliance concern and the specific rule or statute it touches.
• A concise memo that groups the issues, cites the exact SEC, FINRA, or state authority, and proposes compliant language.
Turnaround of three business days is ideal, but let me know if you need slightly longer.
If you have recent experience reviewing private placement marketing—especially under Reg D, Rule 506—and are comfortable navigating FINRA 2210 interpretations, this should be straightforward.