Raise Capital Legally
Ready to invest in properties and projects bigger than you can manage alone? Then you're ready to syndicate. Our "Raise Capital Legally" host and Corporate Securities Attorney Kim Lisa Taylor, and co-host Krisha Young guides you through this complex and confusing world. Learn how to raise all the capital you need for real estate or small business and avoid legal potholes.
Each episode either teaches a subject related to capital raising or interviews service providers who offer services investors need as they grow their businesses. At the end of each show, Kim and her guests take live questions from the audience.
Kim is not just an attorney, she's also an investor. She has owned or controlled 30 rental properties; has been a general partner in a land development project; and currently owns vacation rentals. She is also the author of two Amazon best sellers on how to raise capital legally. Kim and her team have helped hundreds of clients raise ~$4B.
Information discussed during this podcast is of a general, educational nature and should not be construed as a legal advice.
Get one of our Amazon Best-Sellers mailed to you. Text the word SYNDICATE to 844-796-3428 and give us your address.
Raise Capital Legally
Avoiding Securities Advertising Pitfalls: A Legal Deep Dive for Syndicators and Fund Managers
In this episode, Kim Lisa Taylor sits down with Attorney Judith Villarreal to unpack the critical do's and don’ts of securities advertising. Whether you're a real estate syndicator or a fund manager raising capital under Regulation D, Rule 506(b) or 506(c), this conversation will help you avoid the common pitfalls that could land you in regulatory hot water. From misrepresentations and omissions to proper disclaimers and dangerous buzzwords, Judith shares practical advice on how to stay compliant when promoting your offering on websites, social media, newsletters, email campaigns, and more. Tune in to protect your reputation—and your deal.
Chapters:
Introduction to Securities Advertising Compliance (00:00:02)
Krisha Young introduced the podcast focusing on raising capital legally and avoiding securities advertising pitfalls. Kim Lisa Taylor and Judith Villareal were presented as expert speakers on securities compliance.
Legal Risks and Compliance Requirements (00:01:46)
Judith Villareal shared her extensive experience in securities compliance, emphasizing the importance of proper advertising reviews and the risks of misleading statements that could attract regulatory attention.
Fundamental Rules of Securities Advertising (00:03:58)
Judith explained that advertisements must not be misleading or confusing, highlighting the different approaches between FINRA's specific rules and SEC's principles-based regime.
Consequences of Non-Compliance (00:06:07)
The speakers discussed potential penalties ranging from regulatory trouble to criminal prosecution, including the risk of having to rescind offerings and return investor money.
Marketing Language and Disclaimers (00:11:48)
The discussion covered prohibited terms and phrases in securities advertising, emphasizing the importance of accurate representation and proper disclaimers in all marketing materials.
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