An Overview of the Reg A+ Marketing Process for Issuers

Introduction

Issuers and StartEngine as a managing broker-dealer and a selling group broker-dealer are required to comply with SEC and FINRA Advertising Regulations related to their Regulation A+ Offering. All electronic communications referencing a securities offering must be reviewed by SE before publication

What types of Marketing does this cover?

1. Marketing material created for Issuers by SE’s Team
2. Marketing material created by Issuers
3. Issuers posting company information anywhere related to an offering
4. StartEngine sharing company information anywhere related to an offering

Expectations for Timeline & Turnaround

Due to the above, all marketing materials related to your campaign need to be reviewed by StartEngine’s Compliance team. 

Turn Around Time: Once a complete marketing item has been submitted to the SE Compliance our goal is to return a response within 2 business days. 

Edits: You may be required to provide additional information, make changes, or any necessary edits which may add additional time to how long it takes to finalize the marketing item. All items must receive final approval by SE Compliance before publication in any form.

General Reminders & Guidelines

• All electronic communications referencing a securities offering must be reviewed by SE before publication
• Always include a link directly to the Offering Circular or state where information can be found at the very beginning of a video or article (if live or spoken).
• Pre & Post Qualification Communications can require specific legends.