VENTURE ASSOCIATES

DIRECT PUBLIC OFFERINGS
DPO'S and the INTERNET

HOME PAGE
Firm Services
Financing Tips
Going Public
Business Plans
Private Offerings
Capital Sourcing
Books
Links & Clubs
Tips/Notes
Reverse Mergers
DPO's
Forms

Are you raising money from private investors? - Preparation of Private Placement Documents

NewChoose from 50 different types of Business Forms - Buy here-Instant download

Articles-Bylaws-sample Minutes-LLC-Non-Compete-Stock Option-Finder-Assignments-Employee-Financial

(This section contains 4 pages)

The Question Is ** Outline ** Reference Table ** Links/Resources)


This section of the Venture Associates Web Site provides supplemental information to the book:

GOING PUBLIC

Everything You Need to Know to take your Company Public, including Internet Direct Public Offerings

Going Public Book Cover

James B. Arkebauer, founder of Venture Associates, is the author of various business books including
"GOING PUBLIC :
Everything You Need to Know to take your Company Public, including Internet Direct Public Offerings"

(Dearborn Financial Publishing - $29.95 - 348 pages - limited availabilty at book stores across the country)
Review the (Detailed Table of Contents).
This book has been called the bible on the topic of taking a company public.

 

You may order the full text electronic version of Going Public directly from Venture Associates Going Public ebook website



Direct Public Offerings

The Question Is:
Can I raise money by selling stock in my company over the Internet?

The Answer Is:
Yes!

The Qualifiers are:


Internet Direct Public Offerings (DPOs) offer many advantages over conducting Direct Public Offerings prior to the Internet. These advantages can be summed up under three primary areas: increased efficiency resulting in decreased costs and greater exposure

Increased Efficiency: because the process of advising the general public of the availability of your company's DPO is less cumbersome.

Decreased Costs: because of the savings in printing and payment of broker commissions.

Greater Exposure: because of the worldwide reach of the Internet.

Here is a thumbnail outline of the process.
Qualifiers

When you become involved in conducting a DPO, you are immediately subjecting yourself and your company to a wide range of regulatory bodies. These include the Federal Securities Exchange Commission (SEC), the National Association of Securities Dealers (NASD), the various securities exchanges or markets, and each individual state Securities Commission. As if these multiple regulatory bodies aren't enough, they are constantly changing the rules. You are strongly advised to have legal counsel assist you in reviewing your documents and the current filing procedures.

Filing Document Reference Table

 

TYPE of DPO

SCOR REGULATION D REGULATION A SB-1

 Description

Corporate

Corporate

Public

Public

Known As

U-7

504-505-506

 

 

Maximum Dollars

$1 million

$1 - $5 - Unlimited

$5 million

$10 million

Requirements

SEC & States

SEC & States

SEC & States

SEC & States


State SCOR Filings
Companies using the SCOR program must file Form U-7 in each state where they will be selling securities. Individual state's rules vary and you should check with each state's security agency for any variation they may have in the filing procedure.
It is believed that the following states HAVE NOT yet recognized the Form U-7 filing.
Alabama - Delaware - Florida - Hawaii - Minnesota - New York


Links and Resources

Government Resources

This is the primary site for the North American Securitites Administration Association NASAA. It includes listings for the offices of the Security Commissioners in all states and for Canada and Mexico.

This is the key site for the Financial Industry Regulatory Authority FIRA which is the self-regulating group which oversee the trading activity of United States broker/dealers.

This is the main site for the Securities and Exchange Commission SEC. It includes proposed rules and a great deal of information relating to the Federal regulations.


Additional information - on the subject of taking a company public and public company operations can be obtained by reading the book "GOING PUBLIC : Everything You Need to Know to take your Company Public, including Internet Direct Public Offerings" (Detailed Table of Contents.) written by James B. Arkebauer, founder of Venture Associates, and published by Dearborn Financial Publishing. This 348 page book is available for electronic download ($20) from Venture Associates Going Public ebook website

VENTURE ASSOCIATES CONSULTING

The principals of Venture Associates have a great deal of experience in taking companies public and public company mergers and operations. If you would like to discuss the availability and costs for services, please make contact via the following information:


Our 33nd Year of Service

CONTACT INFORMATION
Principal Contact - James B. Arkebauer
Venture Associates - Denver CO
(303)-758- 8710 Fax-758-8747

Send e-mail to: arkebauer@venturea.com

Top of Page
Home Page
Firm Services
Financing Tips
Going Public
Business Plans
Private Offerings
Capital Sourcing
Books
Links & Clubs
Tips/Notes
Reverse Mergers
DPO's
Forms

This web site address is: http://www.venturea.com
© Design and html copyright, Venture Associates 1996-2015


2/2-3/14