Regulation D Limitations on Resale: What You & Your Investors Should Know

Learn about the limitations on resale for private placement memorandums under Regulation D. Understand the rules set by the SEC to prevent a secondary market for securities. To get started with your syndication or fund visit https://www.moschettilaw.com

Private placement memorandums under Regulation D include limitations on resale to prevent the creation of a secondary market. Securities acquired through these offerings are not registered with the SEC but require a Form D filing. Issuers must confirm if securities are being acquired for personal investment or on behalf of others, often through an investor questionnaire. A written disclosure must state that the securities are not registered and cannot be resold unless registered or exempt from registration. A right of first refusal allows managers or existing members to purchase the securities before offering them to external buyers. Transfers to family members are generally permissible. Understanding these limitations is crucial for compliance with SEC regulations.

Chapters:
0:00 Introduction
0:26 Overview of Private Placement Memorandums
1:14 Importance of Limitations on Resale
1:55 Regulation D Exemptions
2:41 Rule 502D Explanation
3:46 Reasonable Care Requirements
5:21 Investor Questionnaire and Disclosure
7:53 Legend on Securities and Transfer Restrictions
9:21 Right of First Refusal and Investor Scenarios

Read more about Reg D Rule 506b - Rule 506b of Reg D: Non-Accredited Investors & No Solicitation: https://www.moschettilaw.com/rule-506b-of-reg-d/

Read more about Reg D Rule 506c - Rule 506c of Reg D – Solicitation & No Non-Accredited Investors: https://www.moschettilaw.com/rule-506c-of-reg-d/


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