Compliance
Help articles
21 articles
- Compliance
An Overview of the Reg A+ Marketing Process for Issuers
How SEC and FINRA advertising rules apply to Reg A+ offerings, and why StartEngine must review offering-related communications before publication.
- Compliance
Annual Reporting Process and Requirements
What the Form C-AR annual report requires, including prior-year financials and when audited statements may be needed for a live offering.
- Compliance
Are there any compliance requirements for the Campaign Page?
The content of this page is generally left up to the Company to decide how they want to make their story compelling.
- Compliance
Do I need to file any state notices for my Reg. CF campaign?
When Regulation Crowdfunding issuers may need to make state notice (blue sky) filings, and why compliance is the issuer's responsibility.
- Compliance
How do I calculate my pre-money valuation?
How to calculate a pre-money valuation from fully diluted shares and price per share, with an example, for a StartEngine offering.
- Compliance
Issuer Guidelines for Successive Reg CF Offerings
Additional requirements for issuers running a second or later Regulation Crowdfunding offering, including annual raise limits and the 12-month look-back.
- Compliance
Issuer Guidelines: Use of Future Projections
How Reg CF and Reg A+ issuers should handle forward-looking projections, and the disclosure risks of including future financial information.
- Compliance
Running Annual Reporting Process and FAQs
The annual reporting process for Reg CF issuers, including Form C-AR filing requirements, financial statements, and SEC deadlines.
- Compliance
What are Bad Actor Checks and why do I need them?
What Bad Actor Checks are, why SEC crowdfunding rules require them, and who counts as a covered person for a StartEngine offering.
- Compliance
What can I, and what can I not say, when talking about my Reg CF campaign?
Crowdfunding marketing is a completely different beast from traditional marketing.
- Compliance
What do I need to include in my CEO verified financial statements?
What Reg CF issuers must include in an annual Form C-AR, including GAAP financial statements and the SEC's 120-day filing deadline.
- Compliance
What do I need to include in my Financial Statements?
The financial statements the SEC requires for a Regulation Crowdfunding offering, including GAAP, covered periods, and audit standards.