NORTH CAPITAL PERSPECTIVES

What is Regulation D? Regulation D (primarily Rules 506(b) and 506(c)) is the dominant private offering framework in the U.S. It allows issuers to raise capital from accredited investors without filing a full SEC registration. According to SEC capital formation data, Regulation D consistently represents well over half of all exempt-market capital formation in the United States, and in recent years has accounted for multiple trillions of dollars in aggregate annual capital rai

For fund managers raising capital through private offerings, North Capital provides expertise and a full range of services tailored to Regulation D Rule 506(c) and 506(b) offerings. Our team helps fund managers navigate the capital-raising process while seeking to maintain compliance with applicable rules and regulations.

If you're a real estate sponsor seeking to raise capital through private placements, working with a broker-dealer may support your efforts. Broker-dealers assist in navigating securities regulations, supporting compliance efforts, and facilitating introductions to potential investors. In this overview, we’ll explore what broker-dealer services involve, their role in real estate offerings, and considerations for selecting the right partner.

Choosing the right broker-dealer for your private placement offering can make a significant impact on your capital raise.

Creating and operating a broker-dealer is a complex and expensive process that can take over a year to get up and running while costing...

Broker-dealers are increasingly outsourcing their operational compliance needs. This strategic shift is driven by the growing complexity...

In the world of private capital markets, the terms broker-dealer  and placement agent  often come up when discussing regulatory...

How Otis, a wholly-owned subsidiary of Public, and Innovator in the Art and Collectibles Alternative Investment Sector, Uses North...