The exempt securities market, which includes popular capital raising vehicles Regulation D (Reg D), Regulation A+ (Reg A+), and Regulation CF (Reg CF), surpassed the registered securities market in 2019.
Of all new capital raised in the U.S. in 2019 utilized an exempt securities offering
Amount of capital raised in exempt securities offerings in 2019
Forward-thinking transfer agents are leveraging CustodyWare’s cap table management software to meet issuer and investor demand for high-tech, high-touch solutions.
Reg A+ or S-1 Securities Offerings
Reg CF or Reg D Securities Offerings
Good Control Location
Engaging a transfer agent is mandated by the SEC for issuers conducting S-1 registrations or securities offerings under Regulation A+, unless 12(g) exempt.
Efficient transfer agent operations are critical to the successful completion of secondary trades. Reg D and Reg CF issuers will be looking to transfer agents who offer a streamlined solution.
Immutable proof of the holder’s identity is maintained by CustodyWare while the actual identity documentation is securely stored by the transfer agent in a regulatory compliant storage media pursuant to SEC Regulation S-P.
The issuer engages an SEC registered transfer agent in the CustodyWare community to manage investors’ shareholdings.
The electronic assets remain the property of the investor, and the investor has complete control of movement, however, appointing a transfer agent enables safe and transparent management of the assets.
Utilizing a transfer agent sets up an issuer’s securities for increased liquidity potential as such securities can be moved to “street-name” for secondary trading on an SEC-regulated ATS.
On instruction from an investor, transfer agents can execute transfers and releases to secondary trading.
CustodyWare-powered transfer agents can maintain post-offering up-to-date shareholder listings, reports, distributions, proxy information, etc. with the cap table management software.
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