SEC & EU Securities Filings

We support compliant capital raising across U.S. and EU frameworks

We facilitate and coordinate the regulatory filings behind capital raises, supporting founders, sponsors, and cross-border businesses across U.S. Regulation D and EU MiFID II frameworks.

Securities Filing & Offering Support

Every capital raise carries a regulatory backbone. Strategic INTESSA helps clients establish that foundation correctly from the outset, supporting fundraising, investor onboarding, and cross-border distribution while reducing avoidable regulatory exposure.

Our role is to align the offering structure with the applicable exemption or regulatory framework before capital is solicited. We assess the offering type, investor base, jurisdictional footprint, and distribution channel, then coordinate the required filings, disclosures, and ongoing notices. In cross-border matters, we also consider dual-framework obligations, passporting questions, and the interaction between U.S. and EU requirements.

Regulation D Filings

Preparation and filing coordination for Form D with the SEC for private placements relying on Rule 506(b) or 506(c), including applicable state Blue Sky notice filings.

Private Placement Memorandum Alignment

Review of offering documentation against Regulation D disclosure expectations, investor qualification standards, and applicable general solicitation rules.

MiFID II Filings & Notifications

Coordination of MiFID II-related filings and notifications for instruments and services distributed within the EU, including product governance and investor categorization documentation.

Cross-Border Offering Structuring

Structuring support for offerings involving both U.S. and EU investors, including exemption eligibility, passporting, and reverse solicitation considerations.

Investor Qualification & KYC Coordination

Support for accredited investor verification, professional client categorization, and associated investor onboarding documentation.

Ongoing Compliance & Amendments

Support for Form D amendments, periodic notices, and regulatory updates as an offering or its investor base evolves.

How We Structure the Matter

Every securities offering is reviewed through a regulatory and jurisdictional lens. We assess the offering structure, investor profile, distribution model, relevant jurisdictions, and applicable filing or notification requirements before coordinating the appropriate compliance path.

Best Suited For:

Private placements and Regulation D offerings
Fund formation and capital raises
Cross-border distribution to EU investors
Sponsors preparing MiFID II-related notifications
Structured products and security token offerings
Investor onboarding and categorization review

For securities offerings, private placements, or cross-border capital raises, submit a private engagement request for structured regulatory review.

Confidential Discussion...

For complex, structured, and confidential matters!