Welcome to the securities law firm of Mangum & Associates. If your company is seeking to raise capital through private placements and/or public offerings, you are in the right place. As a specialized boutique securities law firm, we assist businesses of every size — from solo startups to well-established corporations — in navigating the intricate landscape of SEC rules and regulations both within the United States and internationally (offshore).
Under U.S. federal securities laws, companies are required to register their offerings with the Securities and Exchange Commission (SEC) and/or state regulators unless they qualify for an exemption. Our firm guides businesses through the registration or exemption process while ensuring full compliance with all applicable securities laws and regulations.
Selecting the right securities law firm to meet your objectives can feel overwhelming. Given the complexity of securities laws and SEC regulations, choosing the appropriate legal partner is not always easy. Mangum & Associates offers a comprehensive solution.
Mangum & Associates stands at the forefront of the securities law field. Backed by more than 25 years of experience and a nationwide network of resources — including relationships with FINRA broker-dealers, angel investors, family offices, accredited investors, crowdfunding portals, investment bankers, placement agents, and more — we deliver diverse capital-raising solutions tailored to our clients. We recognize the challenges involved in raising funds within today’s fast-paced and evolving capital markets, and Mangum & Associates is ready to support your capital formation goals.
Raising capital in the United States and worldwide involves managing the detailed securities laws and regulations enforced by the SEC. Federal and state securities laws generally require companies to register their offerings with the SEC unless they qualify for a specific exemption under applicable laws. This requires a thorough understanding of securities regulations, including accredited investor standards, securities offering rules, and disclosure obligations. Given the numerous legal requirements involved, working with an experienced securities law firm like Mangum & Associates is essential to help ensure compliance and a successful capital raise.
Determining the correct strategy for raising capital can be difficult due to the intricate nature of securities regulations. A common hurdle is understanding accredited investor qualifications and other investor eligibility standards. The SEC defines an accredited investor based on specific income or net worth thresholds. Certain exemptions require companies to limit offerings to accredited investors and up to 35 sophisticated investors, either individually or with the assistance of a purchaser representative. Other exemptions mandate that issuers take reasonable steps to verify accredited status by reviewing documentation of income and assets. This verification process can be detailed, time-intensive, and demands careful compliance.
Another significant challenge involves structuring the securities offering itself. Companies must evaluate and select the proper exemption when presenting securities to investors. This includes understanding the distinctions between private placements and public offerings and determining which approach aligns best with their objectives.
Registration requirements also present obstacles for businesses seeking funding. Compliance with SEC registration rules often requires extensive filings and supporting documentation. Interpreting these obligations and meeting regulatory standards can be complicated and time-consuming without guidance from an experienced and knowledgeable securities law firm like Mangum & Associates.
Selecting the appropriate securities law firm is crucial for companies pursuing capital through private offerings. A qualified firm serves as both advisor and partner throughout the process, helping maintain regulatory compliance and improving the likelihood of a successful raise.
A primary factor in choosing the right firm is its depth of knowledge in navigating the regulatory framework. An established securities law firm will possess comprehensive expertise in SEC rules and regulations, helping ensure your offering remains compliant while reducing potential regulatory risks.
Experience working with companies similar to yours is another important consideration. Various industries and offering structures may demand specialized insight. Partnering with a firm familiar with your sector allows you to benefit from its understanding of specific challenges and regulatory requirements.
In addition, the right securities law firm provides continuous guidance and strategic consultation throughout the capital-raising process. This includes advising on the types of securities to issue (e.g., stock, bonds, LLC interests, investment contracts, partnership interests, promissory notes, convertible notes, tokens, SAFE, etc.), company structuring before and after the offering, valuation considerations, and more. With Mangum & Associates supporting you, you can approach the capital formation process with clarity and confidence.
Mangum & Associates is a leading securities law firm in the United States with extensive experience assisting companies in preparing PPMs, offering statements, and other essential disclosure documents related to securities offerings. Backed by deep industry knowledge and a nationwide network of resources, we provide comprehensive support to companies seeking to raise capital through private offerings.
Mangum & Associates streamlines the capital-raising process through customized service solutions. Recognizing that every company has distinct goals and requirements, we collaborate closely with our clients to develop strategies specifically designed to meet their objectives.
Our nationwide network also offers broad access to capital sources for businesses pursuing funding. Through these connections, Mangum & Associates helps align companies with suitable investors based on their industry focus, offering structure, and geographic location.
Mangum & Associates offers tailored services to address the unique needs of companies seeking private placement memorandums. We recognize that each company has distinct goals and requirements, and we work closely with you to develop customized solutions that align with your objectives.
Our services include expert guidance on navigating the regulatory landscape. With our deep knowledge of securities laws and regulations, we ensure your company stays compliant while minimizing the risk of regulatory complications.
We also assist with the preparation of critical documentation, including financial statements, company details, and accurate calculation of eligible purchasers.
Throughout the process, Mangum & Associates provides ongoing consultation and support, offering professional advice on all business matters related to raising capital through private offerings.
Raising capital through private offerings can be complex and challenging. Mangum & Associates offers continuous support and consultation to guide you at every step.
From answering questions to assisting with financial statements, company documentation, and purchaser calculations, our team provides reliable and professional guidance to ensure your offering is executed correctly.
We aim to build long-term partnerships with our clients. By offering ongoing support, we ensure that you have the resources, knowledge, and confidence needed to navigate the complexities of private capital raising successfully.
Selecting the right PPM is essential for a successful capital raise. At Mangum & Associates, we bring extensive experience and professional guidance in crafting Private Placement Memorandums tailored to your needs.
Our deep expertise in the SEC regulatory framework sets us apart. We ensure full compliance with securities laws and regulations, minimizing the risk of legal or regulatory issues.
We are committed to delivering results that exceed client expectations. By understanding your unique PPM requirements and objectives, we provide customized solutions that align perfectly with your goals.
Combining regulatory expertise, a dedication to client satisfaction, and a proven track record of success, Mangum & Associates is your ideal partner for all private placement memorandum needs.
Regulation D is critical for private companies raising capital through private placements. Compliance with Reg D exemptions helps companies avoid violating securities laws and facing legal repercussions. It outlines federal rules and guidelines to ensure fundraising activities are legal while gaining access to investment capital.
Mangum & Associates provides comprehensive guidance for navigating Reg D requirements. Our team helps structure offerings to comply with the regulations, offering consultation and tailored solutions that ensure regulatory compliance and maximize fundraising success.
Regulation A offers an exemption from registration under the Securities Act of 1933 for public offerings. Companies gain advantages over fully registered offerings, though they must still file an offering statement with the SEC and provide buyer documentation similar to a prospectus.
Crowdfunding raises capital by soliciting small investments from a large number of individuals. Companies offering securities via crowdfunding must comply with federal securities laws or meet an exemption.
Regulation Crowdfunding allows companies to offer up to $5M of securities without full SEC registration.
Investors can participate in early-stage offerings, though limits apply based on net worth and income to manage risk.
Real estate syndication allows investors to pool resources for larger projects. This spreads risk and leverages experienced syndicators’ expertise.
Mangum & Associates assists syndicators and investors with structuring private real estate funds (Section 3c5) and syndications, ensuring alignment with investment goals and regulatory compliance.
Section 3c1 of the Investment Company Act of 1940 allows private funds with 100 or fewer investors and no plans for an IPO to bypass certain SEC regulations. Mangum & Associates ensures these funds maintain compliance while benefiting from exemption status.
A promissory note is a written promise to pay a sum of money under specified terms. PPMs for promissory notes include details such as principal, interest rate, maturity date, and repayment schedule, ensuring investors understand the financial obligations and risks involved.
Blue Sky Laws are state regulations that protect investors from securities fraud, requiring registration and full disclosure. Mangum & Associates helps clients comply with these laws across multiple jurisdictions, enhancing investor confidence and credibility.
Form D is filed with the SEC for exempt securities offerings under Regulation D. Mangum & Associates assists clients in preparing and filing Form D, ensuring compliance while raising capital efficiently.
A PPM discloses key details about a private offering to investors. Mangum & Associates crafts comprehensive PPMs that meet regulatory requirements, ensuring transparency and investor confidence.
SAFE agreements allow investors to fund startups in exchange for future equity without immediate valuation. Mangum & Associates helps structure these agreements to ensure clarity, fairness, and compliance, providing flexibility for founders and investors alike.
Equity tokens represent ownership recorded on a blockchain. Mangum & Associates guides clients on issuing tokens through security token offerings (STOs), ensuring compliance while enabling modern fundraising strategies.
An investment contract involves money invested with the expectation of profit derived from others’ efforts. The Howey Test is commonly used to determine if a contract qualifies as a security.
506(c) offerings allow companies to advertise to accredited investors through general solicitation. Mangum & Associates ensures compliance while maximizing fundraising reach.
506(b) offerings allow private capital raises without general solicitation. Mangum & Associates guides companies through compliance and maximizes fundraising potential across both 506(b) and 506(c) offerings.
One of the key reasons to choose Mangum & Associates for your PPM and SEC capital fundraising efforts is our expertise in the SEC regulatory landscape. We have in-depth knowledge of securities laws and regulations, ensuring our clients comply and minimize the risk of regulatory issues.
We stay up-to-date with the latest regulatory developments and continuously monitor changes in securities laws. This allows us to provide accurate and timely advice, guiding you through the complexities of raising capital through private offerings.
By choosing Mangum & Associates, you can have confidence in our ability to navigate the regulatory landscape and ensure compliance with the SEC’s requirements. Our expertise is a valuable asset in a rapidly changing regulatory environment.
*NOTICE: Investor Growth Systems is an independent marketing consulting firm not affiliated with the Firm. The Firm does not make any representations, warranties, or guarantees of any results by using their services or systems. The Firm may receive a referral fee from Investor Growth Systems or their affiliates if you engage their services.
Securities law firms are proficient in aiding companies in raising capital through private offerings while helping them adhere to the securities laws and regulations set by the SEC. These specialty law firms possess a comprehensive understanding of the regulatory environment, equipping them with the expertise needed to guide companies through the intricate process of fundraising.
One of the key roles of securities law firms is to assist businesses in preparing Private Placement Memorandums (PPMs), which outline crucial information about the offering and help potential investors make informed decisions. These documents typically include details about the company's business model, financial projections, risks involved, and terms of the investment.
Moreover, securities law firms play a vital role in ensuring that companies comply with all relevant regulations during the fundraising process. This includes conducting due diligence on potential investors to verify their accredited investor status, drafting legal documents such as subscription agreements, and filing necessary forms with the SEC.
By leveraging their professional knowledge and experience, securities law firms serve as valuable partners for companies seeking to raise capital in a compliant manner. Their guidance can help businesses navigate legal complexities, mitigate risks, and ultimately achieve their fundraising goals successfully.
Mangum & Associates is a trusted firm that is skilled in private placements across the nation. Leveraging our extensive network of resources, including FINRA broker-dealers, crowdfunding portals, angel investor networks, accredited investors, family offices, placement agents, and financial advisors, we cater to your individual needs and preferences to introduce you to potential investor sources that align with your specific requirements and objectives.
Our personalized approach ensures that you are linked with a firm that seeks not only to meet but exceed your expectations. Whether you are seeking assistance with compliance, regulatory matters, or strategic planning, Mangum & Associates can facilitate your access to the private capital markets in a legally compliant way. Trust in our expertise to navigate the complexities of the private equity capital markets and raise capital in a manner that suits your unique needs.
Choosing the right securities law firm is crucial for your business success. Mangum & Associates offers tailored services with flat-rate, fixed fees. With expertise in SEC regulations and a commitment to client satisfaction, we ensure that you start on solid legal footing. Don’t settle for anything less when it comes to your securities law firm. Trust Mangum & Associates to guide you through the complex landscape with personalized solutions and proven results.
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