North Texas PPMs

PPMS BY A FORMER SECURITIES REGULATOR. DONE RIGHT AND FAST. FOR LESS.

Practice AREAS

I Specialize in 506(b), 506(c) and Crowdfunding (Reg. CF) Offerings

For startup and early development companies (most of my clients), these types of offerings can raise the most money with the least regulation:
Rule 506(b) "Accredited Investor" only offerings: no limit on amount raised, no time limit, "Accredited Investor" proof IS NOT required, no general solicitation, file a Form D with the SEC and states within 15 days after sale.
Rule 506 (c) offerings: no limit on amount raised, no time limit, "Accredited Investor" proof IS required, general solicitation allowed, file a Form D with the SEC and states within 15 days after sale.
Crowdfunding (Regulation CF): $5,000,000 limit on amount raised, 12 month time limit, both Accredited and Unaccredited Investors, participation amount limits, must be conducted through a registered crowdfunding portal, general solicitation allowed, File a Form C with the SEC before offering.
Pricing is flexible. I can just review the PPM that you have prepared (usually around $700) to preparing all the documents, including the executive summary (usually around $8,000). I can work on an hourly basis ($350/hr) or for an all inclusive flat fee. I can usually have a PPM done in a week or less.

Other Legal Services

I Specialize in 506(b), 506(c) and Crowdfunding (Reg. CF) Offerings

I have been practicing transactional law (contracts, etc.) for over 20 years. I routinely prepare the following for my clients:
Form D filings with the SEC and states: Rule 506(b) and Rule 506(c) offerings require a Form D filing within 15 days of the first sale with the SEC. Most states also require a notification filing within 15 days of the first sale within that state.
Form C: A Crowdfunding (Regulation CF) offering requires a Form C filing with the SEC prior to the offering.
Company Formation: Many clients form a company that raises the funds, and then another company to own any assets to keep any liabilities contained within that company. That way any liabilities do not cross over into the assets of another company. I can form companies and prepare company resolutions, etc.
Other legal services: I can help with any other agreements (employment, independent contractor, joint operating, licensing, leasing, etc.) you might need.

My experience

Austin Allen, Solo Attorney

I worked with the Texas State Securities Board as an Enforcement Attorney from 1995 - 1998, and with the Financial Industry Regulatory Authority (FINRA, previously the NASDR) from 1998 - 2000. Since then, I have been in private practice helping startups and early development companies (including my own) by writing PPMs, filing regulatory documents, preparing agreements, etc. My clients have mostly included oil and gas companies, and residential and commercial real estate companies. However, I have worked with many other types of companies, including cannabis production, hydrogen storage, and carbon capture companies. So whatever business you are in, I can help you.

Practice AREAS

I Specialize in 506(b), 506(c) and Crowdfunding (Reg. CF) Offerings

I Specialize in 506(b), 506(c) and Crowdfunding (Reg. CF) Offerings

I Specialize in 506(b), 506(c) and Crowdfunding (Reg. CF) Offerings

Other Legal Services

I Specialize in 506(b), 506(c) and Crowdfunding (Reg. CF) Offerings

I Specialize in 506(b), 506(c) and Crowdfunding (Reg. CF) Offerings

My experience

Austin Allen, Solo Attorney

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