Start Me Up: Preparing for Start-Up and Smaller Business Capital Raising

One of many critical challenges start-up ventures confront is capital raising, including the manner of acquiring capital, determining which type of capital (e.g., debt, equity, convertible securities) to utilize, how much capital to raise, how to target investors, and the overall fundraising (or securities offering) process. This practice note discusses three primary ways in which start-up and other early-stage companies may engage in private and alternative (rather than registered, public) securities offerings in the U.S. We consider several of the most common types of private and alternative fundraising authorized under U.S. federal securities laws, including their respective issuer and investor eligibility requirements, maximum offering amounts, key documents and forms, and applicable state law requirements.  

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