Rule 506 of Regulation D provides two exemptions from registration of an offering of securities with the SEC:
Assure's industry best-practice verification services ensure accurate information collection, a thorough review by a licensed CPA and a prompt status letter. We ensure the verification process integrates seamlessly with deal onboarding.
Blue Sky laws are state laws designed to protect investors from securities (investment) fraud. Each time Assure closes a fund or syndicate, we have to notify the states through statutory filings within 15 days. For example, if a fund is raised with investors from California, Florida, and Massachusetts, we notify those three states within 15 days of the close and pay the per state fee.
Assure’s compliance team offers extensive knowledge and experience to guide you through the intricacies of compliance. We’ll help with on-going compliance training and consulting for your personnel. Our services complement and supplement your Special Purpose Vehicle (SPV) or Fund Administration services and ensures compliance with applicable rules and regulations.