E34: Revisit Episode 1: Intro to Alternative Assets - Deep Dive into the Regulatory Framework
Summary
In this episode of Alt Investing Made Easy, Sarah Florer and Roland Wiederaenders delve into the regulatory framework governing securities, focusing on the Securities Act of 1933 and its implications for private offerings. They discuss the importance of Regulation D, the role of accredited investors, and the concept of materiality in disclosures. The conversation highlights the evolution of private placements and the significance of thorough risk assessment in investment opportunities, emphasizing the balance between consumer protection and market efficiency.
Sponsored by:
Real Advisers, Austin, Texas
Real Advisers, Austin, Texas
Special thanks to:
For more information: AltInvestingMadeEasy.com
Please contact us: info@AltIvestingMadeEasy.com
Roland Wiederanders: Roland@grablemartin.com
Sarah Florer: sflorer@grablemartin.com
Takeaways
All securities must be registered, with exceptions for private securities.
Regulation D is vital for private offerings, allowing exemptions from registration.
A significant majority of private offerings rely on Regulation D.
Accredited investors are typically wealthier individuals who can bear investment risks.
Materiality in disclosures is subjective and context-dependent.
Disclosure requirements protect both investors and deal sponsors.
The process of preparing a Private Placement Memorandum (PPM) is educational for sponsors.
Understanding state laws, known as blue sky laws, is essential for compliance.
The balance between regulation and market efficiency is crucial.
The democratization of capital is necessary for a healthy economy.
Chapters
00:00 Introduction to Alternative Assets and Regulatory Framework
07:41 Understanding Regulation D and Its Importance
12:33 The Role of Accredited Investors in Private Offerings
18:14 Private Placements and Changes in Securities Law
24:15 Materiality and Disclosure Requirements in Securities
30:51 Conclusion and Legal Disclaimer
Disclaimer: “This production is for educational purposes only and is not intended as investment or legal advice.”
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Creators and Guests
Host
Roland Wiederaenders
Co-founder of the Alt Investing Made Easy podcast, investment advisor, and corporate securities attorney with expertise in private investment funds, corporate/securities issues, mergers and acquisitions, partnership structuring, and federal income tax matters. Roland is also a member of Grable Martin PLLC.
Host
Sarah Florer
Co-founder of the Alt Investing Made Easy podcast, investment advisor, and corporate attorney with expertise in corporate finance and securities, structuring and restructuring, and commercial matters. Sarah is also a member of Grable Martin PLLC.
Producer
Anthony Carrano
Co-founder of the Alt Investing Made Easy podcast, fractional Chief Marketing Officer, entrepreneur, and Managing Partner at Dunamis Marketing.
