SEC Compliance

Startups selling equity to investors and incentivizing employees with share and stock option grants must comply with all rules from the Securities & Exchange Commission (SEC). Learn how to keep your startup compliant as you take on rounds of financing from outside investors and issue shares from your employee stock option pool. Startups typically raise money from investors in priced rounds using a Reg D exemption, while equity crowdfunding makes use of the SEC Reg CF and Reg A+ exemptions that are specific to equity crowdfunding.