Reg D &
Reg A+
Regiment helps issuers raise private and public capital through exempt offerings under Regulation D and Regulation A. We advise on structure, prepare offering materials, and manage the investor process from diligence through close.
- Exemption Selection & Structuring
- Offering Document Preparation
- Investor Outreach & Syndication
- Diligence & Data Room Management
- Filing & Closing Support
Two Paths to Exempt Capital
Regulation D
The most widely used path to private capital. Reg D offerings go primarily to accredited investors, carry no dollar cap, and move on a private timeline rather than an SEC review calendar. Best when speed and flexibility matter more than reach.
Regulation A+
A public path that opens the raise to accredited and non-accredited investors alike, with broad marketing permitted. Requires SEC qualification and ongoing reporting, but reaches a far wider investor base and produces tradable securities.
Who These Offerings Fit
Growth Companies
Operating businesses raising expansion capital without the cost of a registered offering.
Fund Sponsors
Real estate, credit, and specialty funds placing interests with qualified investors.
Asset-Backed Issuers
Sponsors financing identifiable assets or projects through a dedicated offering vehicle.
Consumer Brands
Companies with an existing audience using Reg A to convert customers into shareholders.
How It Works
Structure
Assessment
We review your goals, investor base, and timeline to identify the right exemption.
Diligence &
Documentation
We coordinate with counsel and auditors to prepare offering materials and the data room.
Filing &
Qualification
Notice filing for Reg D, or SEC submission and comment response for Reg A.
Investor
Process
We manage outreach, investor qualification, and subscription flow.
Close &
Ongoing Support
Escrow release, closing mechanics, and continuing reporting obligations.
Why Work With Regiment
Registered Broker-Dealer
Placement conducted through a FINRA member firm with registered representatives and a supervised compliance process.
Investor Network
Relationships across family offices, RIAs, private equity, and institutional allocators.
Process Discipline
Structured diligence, documented supervision, and coordination with your counsel and auditors throughout.
Considering an Exempt Offering?
Start a confidential conversation with our team about structure and timing.
Talk to Our Team →Important Disclosures
This page is for general informational purposes only. It is not an offer to sell or a solicitation of an offer to buy any security, and it is not a recommendation to participate in any offering. Any offering of securities will be made only through definitive offering documents — a private placement memorandum or offering circular, together with subscription and related agreements — furnished to eligible investors. Those documents govern in all respects, and to the extent anything on this page differs from them, the offering documents control.
Our role. Regiment Securities, LLC is a broker-dealer registered with the SEC and a member of FINRA. In the engagements described here, Regiment acts as placement agent on behalf of the issuer. Regiment is not the issuer of any security described on this page, does not act as an investment adviser, and does not act as a fiduciary to any investor. Nothing on this page should be understood as a representation that any offering is suitable for you.
No regulatory approval. No federal or state securities commission or regulatory authority has approved or disapproved of any offering described here, passed upon its merits, or determined that this page or any offering document is accurate or complete. Any representation to the contrary is a criminal offense. Qualification of a Regulation A offering by the SEC is not an endorsement or approval of the offering, the issuer, or the terms of the securities.
Investor eligibility. Participation is limited to investors who meet the eligibility requirements of the applicable exemption. Regulation D offerings are generally limited to accredited investors, and accredited status may be subject to verification. Regulation A offerings may be available to non-accredited investors, whose investment amounts may be limited by regulation based on income and net worth.
Risk of loss. Investing in private and exempt offerings involves substantial risk, including the risk of losing your entire investment. These securities are illiquid, there is generally no public market for them, transfer is typically restricted, and investors should be prepared to hold for an indefinite period. Past performance of any issuer, sponsor, or prior offering does not predict future results. These investments are not suitable for all investors.
SIPC. SIPC protection applies only to the custody of cash and securities held at a failed brokerage firm. It does not protect against a decline in the value of any investment, the failure or default of any issuer, or any loss arising from an offering described on this page.
Compensation and conflicts of interest. Regiment may receive compensation from issuers in connection with the services described here, including retainers, expense reimbursement, transaction-based placement fees, and in some cases securities or warrants of the issuer. Compensation may vary by offering and is frequently contingent on completing a transaction. These arrangements create an incentive for Regiment to recommend proceeding with an offering, to favor particular structures, and to introduce particular offerings to investors. Compensation specific to an offering is disclosed in that offering's documents.
Indicative information. Raise ranges, timelines, regulatory thresholds, and service descriptions on this page are illustrative summaries only. They vary with facts and circumstances, are not a prediction or commitment, and are subject to change with applicable law. There is no assurance that any offering will be commenced, qualified, or completed, that any amount of capital will be raised, or that any offering will achieve a particular outcome.
No legal, tax, or accounting advice. Nothing here is legal, tax, accounting, or regulatory advice. Prospective issuers and investors should consult their own advisors before pursuing or participating in any offering.
Securities offered through Regiment Securities, LLC, member FINRA/SIPC. Background on Regiment Securities, LLC and its registered representatives is available at FINRA BrokerCheck.