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Exempt Offerings

Exempt landing header

Can my company legally offer and sell securities
without registering with the SEC?

We explain the exemptions from registration that are most frequently asked about.

exempt private placement

Private placements – Rule 506(b)

exempt permit

General solicitation – Rule 506(c) 

exempt limited offerings

Limited offerings – Rule 504 

exempt filing form D

Filing a Form D notice

exempt regulation crowdfunding

Regulation Crowdfunding

exempt regulation A

Regulation A

exempt interstate offerings

Intrastate offerings

exempt employee benefit

Employee benefit plans

What exemptions reflect the changes included in the JOBS Act?

General Solicitation jobsact graphic

General solicitation — Rule 506(c)

Rule 506(c) permits the use of general solicitation where all purchasers are accredited investors and the issuer takes reasonable steps to verify that the purchasers are accredited investors. Read More

Regulation crowdfunding JobsAct

Regulation Crowdfunding

Regulation Crowdfunding enables certain companies to offer and sell securities on an internet based platform through an intermediary that is a registered broker-dealer or registered funding portal. Read More

exempt regulation A

Regulation A

Regulation A is an exemption from registration for public offerings, although offerings made pursuant to this exemption share many characteristics with registered offerings. Read More

Frequently asked questions about exempt offerings

Anti-fraud provisions

Do the anti-fraud provisions apply?

Accredited Investor icon

What is an accredited investor?

State law requirements

Do state law requirements apply?

Restricted securities

What are restricted securities?

Waivers of bad actor disqualification

What about waivers of “bad actor” disqualification?

Modified: Oct. 24, 2022

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