E34: Revisit Episode 1: Intro To Alternative Assets - Deep Dive Into The Regulatory Framework Alt Investing Made Easy podcast

E34: Revisit Episode 1: Intro to Alternative Assets - Deep Dive into the Regulatory Framework

17h ago 34:04

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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

Special thanks to:

Grable Martin PLLC

Red Sun Creative, Austin, Texas

For more information: AltInvestingMadeEasy.com

Please contact us: [email protected]

Roland Wiederanders: [email protected]

Sarah Florer: [email protected]

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.”

34 episodes