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I'm a North Carolina business that would like to raise money.

 

 

What to expect as an issuer:

Stage 1 – Pre-Filing

  • Evaluate available funding options
  • Assess costs associated with each
  • Solicit service providers

Stage 2 – Notice of Intrastate Claim of Exemption (NCE) Filing

  • Decide to either file a NCE-LPO (up to $250,000) or NCE (up to $2 million)

Requirements include:

  • Non-refundable $150 filing fee
  • Disclosure document (see 18 NCAC 06A .2010 for requirements)
  • Escrow agreement (see 18 NCAC 06A .2019 for requirements)
  • Attestations (see 18 NCAC 06A .2008 for requirements)

Copies of agreements with all supporting entities including: 

  • Crowdfunding services provider
  • Funding portal
  • Broker-dealer
  • Escrow agent
  • Marketing consultant
  • Attorney
  • CPA
  • Names and titles of persons engaged in the offer or sale of the issuer’s securities
  • Names and titles of persons who will serve as the investor contact person(s) for the issuer

Stage 3 – Pre-Fundraising

  • Collect financial statements
  • Develop business plan
  • Develop marketing campaign
  • Produce promotional content 
  • Build website/platform or provide information to funding portal
  • Engage your crowd

Stage 4 – Fundraising Campaign

  • Launch digital marketing campaign to existing contacts
  • Launch communication efforts through partners and affiliates
  • Execute all other approved promotional channels to present your offering to potential investors

Stage 5 – Post-Fundraising

  • Submit an offering report upon completion
  • Provide quarterly reports to investors (until no securities are outstanding)

While these steps may seem complicated, there are definitive benefits to using the FundingStack™ portal to handle the entire process – from organizing your offering and filing your exemption to post-fundraising reporting.

 

Still have questions? Get in touch to learn more.

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