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Updated about 6 years ago on . Most recent reply

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Canesha Edwards
  • Developer
  • Atlanta, GA
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When to file SEC from a documents??

Canesha Edwards
  • Developer
  • Atlanta, GA
Posted

Hello, I hope everyone is having a great Sunday. I have worked in Finance my entire professional career. Starting out as a credit analyst for BB&;T, I spent my younger years reading through 10Ks, 10Qs, financial statements, SEC documents, etc. creating “spreads” and credit analysis for different types of businesses. I say all of this to say, with all of my technical knowledge, I lack in the basic understanding of when one would need to file form A documents when dealing with multi family investing?

If I have a group of investors who are looking to fund deals on a debt or equity basis, at what point would I need to file the SEC documents?

Would I need to file documents for each deal?

Any and all advice is greatly appreciated.

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Michael Le
  • Developer
  • Houston, TX
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Michael Le
  • Developer
  • Houston, TX
Replied

Essentially if your investors are looking to invest money in your deal with an expectation of return on that money but don't have any role in how that return is made then it will be considered a security and will be under the SEC guidelines. You're better off talking to an SEC attorney about it to be safe.

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