Investment Banking

Pasadena, CA


Managing Broker-Dealer

Laguna Niguel, CA


Tuesday, Feb. 6th 2018

Reg A Offerings – Reg A+ Does Not Mean Crowdfunding

Recent changes to Reg A offerings have made this vehicle for raising capital attractive to investment product sponsors of alternative investments. The rules and filing requirements 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.

JCC offers a unique twist to the Reg A offerings, in that we offer exclusively through the Broker-Dealer & Registered Investment Advisors Community. We are not crowdfunding! We leverage the safe harbor of the Reg A exemption to provide a potentially low cost alternative for raising capital, while delivering a product that is still attractive to the professional investment advisor community.

Regulation A (also known as Reg A+ or Reg A Offerings) was revised as part of the Jumpstart Our Business Startups (JOBS) Act. The Reg A Offerings are SEC qualified under an exemption from registration for public offerings, but the disclosures required under this exemption are similar to those required for registered offerings. The revised Reg A Offerings includes two tiers: Tier 1, for offerings of up to $20 million in a 12-month period; and Tier 2, for offerings of up to $50 million in a 12-month period.

The recent changes have streamlined the process, providing an avenue for raising capital that is often less costly than public offerings, yet offering greater transparency than traditional private offerings.  JCC Capital Markets, LLC, has been on the forefront of bringing Reg A Offerings to market.


Under Tier 1, companies are permitted to offer a maximum of $20 million in a one-year period. Companies issuing offerings under Tier 1 are not required to produce reports continually; they are only required to issue a report on the final status of the offering.


The biggest difference between Tier 1 and Tier 2 Reg A offerings is that companies can offer up to $50 million in a one-year period. Companies offering securities under this tier must produce continual reports on the offering, including its final status.

Alternative investments like Reg A offerings with JCC Capital Markets, LLC, now have a broader base and provide diversification strategies for a greater percentage of the investing public. Reg A offerings offered through JCC Capital Markets, LLC, undergo a thorough due diligence discipline and are crafted to provide fair and transparent transactions to appropriate investors.



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Laguna Niguel, CA 92677

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Built on a solid foundation of investment banking and management consulting, JCC Capital Markets, LLC has become a leader in managing broker-dealer services, providing quality investment opportunities to the financial planning marketplace. As a managing broker-dealer, we have the proven ability to find exceptional product sponsors and provide the necessary expertise and guidance to craft investment structures that deliver investor protections, industry leading innovations and solid investment strategies.

NO OFFER OR SOLICITATION: The contents of this website: (i) do not constitute an offer of securities or a solicitation of an offer to buy of securities, and (ii) may not be relied upon in making an investment decision related to any investment offering. Investment offerings and investment decisions may only be made on the basis of a confidential offering document. JCC does not warrant the accuracy or completeness of the information contained herein.

Investments in any security are not suitable for all investors. Investments in securities involve a high degree of risk and should only be considered by investors who can withstand the loss of their investment. Prospective investors should carefully review the “Risk Factors” section of any private placement memorandum. Investors should perform their own investigations before considering any investment and consult with their own legal and tax advisors.

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