Private Placements & Reg A Offerings

Private placements and Reg A offerings provide investment opportunities in companies not available to the general public. Companies seeking capital find private placements and Reg A offerings can provide an efficient capital source. As a managing broker-dealer we are in the position to match strong potential companies for investment with investors seeking alternatives to create increased diversification within their overall portfolio.

JCC Capital Markets, as a managing broker-dealer seeks to provide a stable of well positioned companies available for investment. Becoming an investment product sponsor member of our platform involves a rigorous vetting process, oftentimes with significant input from us on the structure of the offering including investor safeguards and transparency measures. 

Private Placements

Private placements, or Reg D offerings are available exclusively to high net worth individuals (accredited investors) and oftentimes have higher minimum investment requirements as well. Reg D offerings are exempt from the public filing registration requirements with the Securities and Exchange Commission and can be a more cost-effective means for raising capital vs. a public offering. 

Reg A Offerings

JCC Capital Markets has been on the forefront of bringing Reg A offerings to market. Recent changes to Reg A have made this vehicle for raising capital more attractive to investment product sponsors of alternative investments. The rules are still complex and sometimes difficult to navigate and it is important to work with a managing broker-dealer with expertise in this area to enter this marketplace. 

Reg A offerings are limited to no more than $50 million in capital raise in a given year. Reg A Offerings are available to a broader investment audience as the requirement for investment is that the investment size be limited to no greater than 10% of the investor’s net worth or 10% of their annual income, whichever is greater. Reg A offerings must still file documents with the SEC, but the regulatory burden and associated costs are significantly less than a fully registered public offering.