The importance of working with a broker-dealer on your capital raise cannot be understated. But, if this is your first time working with one, you may wonder what to expect. This E-book will help prepare you to take full advantage of the benefits that a broker-dealer provides.
In order to find investors and manage your offering, you will need to communicate with potential investors, intermediaries, and, depending on which exemption you chose, the general public. This rule provides comprehensive standards for the content, approval, record-keeping, and filing of communication with FINRA.
To capture investor interest, you will need to provide comprehensive, easy-to-consume marketing materials that summarize your offering. We outline tips for preparing a private placement memorandum (PPM), marketing teaser, and compelling pitch deck—each of which will serve you well in different settings.
Navigating regulatory hurdles and preparing offering documents are difficult parts of raising capital, but neither of those things matter if you don’t have the investors necessary to complete your raise. Marketing to advisors, taking advantage of general solicitation, and utilizing technology are a few ways to expand your reach.