We provide real world, effective Regulation A Funding advisory services for startup, growth and acquisition financing

Stock Transfer Agents are an Important Component of Regulation A+ Offerings

Once again, we must stress the fact that Regulation A+ is not a cut-and-dried process. There are many moving parts and regulatory issues that must be addressed before approval for your Regulation A+ offering is final. Stock transfer agents are one such requirement.

staWe’re not talking traditional crowdfunding like you may see on Shark Tank. Reg.A+ offerings involve REAL stock in a real company! Therefore, if you want to move forward with a Tier II Regulation A+ offering, SEC rules require you use the services of a registered stock transfer agent. That means that you must have your transfer agent in place prior to conducting your Reg.A+ offering and that stock transfer agent must be registered with the SEC as per Section 17A of the Exchange Act of 1934.

Transfer agents perform many services in the Regulation A+ process. The most important is to provide shareholders and investors with the ability to easily manage and monitor their accounts and also provide them with the ability to liquidate their holdings when that time comes. Agents work with issuers by managing the company’s shareholder database to seamlessly integrate into the backend funding portal of choice, including providing access to all registered shareholder data and access to all required forms. Stock transfer agents can help issuers obtain DTC approval for electronic transfer of funds as well as the ability to handle FAST, DWAC, and DRS transactions – and the good ones can also introduce you to a variety of targeted market makers too. The ones we work with do all this and so much more!

Based on years of experience in the capital markets, we have forged relationships with some of the best stock transfer agents in the industry. As you can see from the above paragraph, using a stock transfer agent isn’t just a formality. A lot of work is involved and working with agents who have a long history of success is crucial for your Reg.A+ offering to succeed as well. In other words, when you hire the Reg.A+ Funding Group to move your project forward, you can be sure your deal is in good hands!

Contact us today for a no-obligation confidential consultation to see if Reg.A+ is right for you and your business goals.