Our Issuer Dealer Services

When tackling Issuer Dealer and Sales Agent Registration filings it’s important to know you aren’t alone, we will be with you every step of the way to ensure your needs are met. Here’s how we can help:

Tier One: With Reg A filings, public investments are exempt from registration with the SEC. Under Tier 1, corporations are able to withhold ongoing registrations until the final offering status. (Maximum of $20 million in a 12-month timeframe).

Tier Two: Under Tier 2, companies are required to report ongoing statements as well as audited financial reports until and including the final offering status. (Maximum of $75 million in a 12-month timeframe).

*Issuer-Dealer Registration is required for those interested in selling securities themselves in New Jersey, Florida, New York, and Texas. For agents participating in the selling process registration is required in the state of Nevada and Washington.*

Regulation D offerings are beneficial to those who fall under the umbrella of entrepreneurs and private companies. Seeing as there are less “hoops” to jump through when meeting the requirements of a Reg D offering, it allows select parties the ability to raise capital at a faster rate and lower cost than a public offering. This is due to capital being raised via debt security and equity sales without having to file a full registration statement with the SEC. In the state of Florida, issuer-dealer offerings require proper registration.

By using our filing services we guarantee years of experience and knowledge, quality service, and fast turnarounds. When getting into the world of issuer dealer registrations, we provide unparalleled service in assistance with filing requirements, investments, and the overall execution of the securities on your behalf.

Issuer dealer services offer expertise and guidance to companies engaging in securities transactions as both issuers and dealers. These services ensure that the company complies with all state and federal securities laws, regulations, and reporting requirements, mitigating the risk of legal issues and penalties.

Professional issuer dealer service providers streamline the filing processes for companies, helping them navigate the complexities of state registration requirements efficiently. They assist in preparing and submitting the necessary documentation to state securities regulators, reducing administrative burdens and saving valuable time.

Issuer dealer service firms provide expert consultation and ongoing support to companies throughout the securities offering and trading process. From initial filings to ongoing reporting obligations, their guidance ensures that the company remains in compliance with changing regulations and market practices. This support fosters confidence and trust among investors and enhances the overall reputation of the issuer-dealer in the market.