712 H Street NE, Suite 1143Washington, DC 20002+1 (202) 629-0325lageL.muA%40muA



712 H Street NE, Suite 1143Washington, DC 20002+1 (202) 629-0325lageL.muA%40muA

Securities

Securities Filings for Blockchain and Cryptocurrency Businesses

Form C, C-AR, C-TR: Raising money under Title III Crowdfunding?

Pursuant to the JOBS Act and the regulations promulgated by the SEC, in order to raise money using Title III Crowdfunding, a company must prepare a Form C and file it with the SEC prior to launching an offering. 
We also offer Annual Report (Form C-AR) drafting and to keep your company under the Regulation CF SEC compliant. Further, we also offer a Termination Report (Form C-TR) service that allows your company to met the requirements to cancel your annual reporting obligation.

PPM: Looking to complete a Private Placement Memorandum (PPM)?

Whether your company is conducting a Regulation D 506(b) or 506(c) offering, or another type of private placement. A private placement memorandum PPM is a disclosure document that a company provides to potential investors and serves as a record that all material information about the company was disclosed. A PPM is especially useful when raising money from investors who are not well known to the principals of the business.

Reg A+: Looking for a mini-IPO?

Reg A+ of Title IV of the JOBS Act is a type of offering that allows private companies to raise up to $50 Million from the public. Similar to an IPO, Reg A+ allows companies to offer shares to the general public and not just accredited investors. Companies looking to raise capital via Reg A+ will first need to file with the SEC and get approval before launching the offering. However, the fees associated with a Reg A+ offering are much lower than a traditional IPO and the ongoing disclosure requirements are much less burdensome, effectively making a Reg A+ offering a mini-IPO.

Reg D: Raising Money in Private Placement?

A Form D is required to be filed by any company raising capital under certain SEC exemptions. If you are conducting an offering under Regulation D you must file the Form D within fifteen days of closing your deal. Aum Legal Services will walk you through the process and make sure you qualify for this type of capital raise.
We cover a wide range of Reg D financing transactions, including:
● Convertible transactions● Preferred stock transactions● Stock transactions● Notes, subscription agreements, board approvals, etc.● Packages available

Form ID: Are you a large business?

A Form ID is required to be filed by any company raising capital under certain SEC exemptions. If you are conducting an offering under Regulation D, you must file the Form ID within fifteen days of closing your deal. Form ID is also required to be filed by any entity wishing to submit any filings to the SEC through its EDGAR filing system. This process is fairly rigorous and requires a notarized document.

Risk Factor Package

The Risk Factor Package is for companies raising money that don’t want to use a full private placement memorandum or PPM disclosure document. If you are raising money from friends and family or sophisticated investors, you may not need to use a full PPM document, but you should still use a set of well tailored risk factors to protect you and your company from liability if anything goes wrong in the future.
Risk factors are like your insurance policy for a securities offering and a well tailored comprehensive set of risks can protect you and your company from investor lawsuits and SEC actions. Once we understand the details of your specific business, we will generate a set of risk factors tailored for your company for your legal protection.