The Secrets of Wall St. Course – Securities Offering Document Production
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Question 1 of 14
1. Question
The more experienced management teams have a greater probability of raising the needed capital, due to the nature of their personal and professional industry contacts.
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Question 2 of 14
2. Question
Most investors want answers to the following questions.
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Question 3 of 14
3. Question
It’s not necessary to have signed & dated, written engagement letters or executive compensation agreements before you add any management team member to the Red Herring document, because it’s not an official offering.
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Question 4 of 14
4. Question
Only the CFO or VP of Finance can be compensated directly for soliciting and selling securities because their primary job is raising capital.
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Question 5 of 14
5. Question
A detailed “Sources and Uses” statement and an “Estimated Use of Proceeds” statement must be in a securities-offering document.
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Question 6 of 14
6. Question
You need the “Sources and Uses” statement to complete the “Notice of Sales” federal-and-state-filings requirement after each sale of your Company’s securities.
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Question 7 of 14
7. Question
The greater the dilution of a security the greater the safety for the investor.
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Question 8 of 14
8. Question
The greater the dilution of a security the greater the IRR for the investor.
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Question 9 of 14
9. Question
The PPM’s Executive Summary is macro in nature, where the PPM’s body is detailed and micro in nature.
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Question 10 of 14
10. Question
The Executive Summary would include summarizations of the main body of the PPM’s text on
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Question 11 of 14
11. Question
The greater the dilution of a security the greater the IRR for the Founders.
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Question 12 of 14
12. Question
Most securities attorneys would prefer that you not project a rate of return on the securities offered by your Company.
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Question 13 of 14
13. Question
In reality, if you do not provide IRR estimations, there is a virtually non-existent likelihood of attracting any meaningful amount of capital, which makes any increased probability of being sued “moot.”
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Question 14 of 14
14. Question
Hybrid securities, such as; Convertible Seed Capital Notes and Convertible Participating Preferred Stock can provide for realistic exit strategies.
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