Compliance built in at formation costs far less than compliance repaired in diligence.

What startup compliance covers

Startup compliance is more than a checklist. It is making sure the company is formed, owned, financed, and operated in a way that regulators, investors, broker-dealers, and acquirers will accept.

• Entity formation in Delaware or the right state, plus foreign qualification
• Founder, equity, NDA, non-compete, IP assignment, and contractor agreements
• Securities exemptions for SAFEs, Reg D 506(b), and Reg CF / Form C offerings
• FTC, advertising, and state licensing rules for your industry
• Corporate books and records that hold up in investor diligence

Common startup compliance mistakes

• Taking investor money before there is a proper instrument or exemption
• Promising equity by email without board approval or paperwork
• Relying on template formation documents that a VC will not accept
• Using contractors without IP assignment agreements
• Expanding into new states or countries without checking licensing

Two questions to ask today

Who is actually on your cap table right now — including advisors and anyone who wired money before there was an instrument? Which exemption did your last raise rely on, and can you produce the documents that establish it?

If either answer is "I'm not sure," that is the first engagement — before the next investor conversation.

Experience behind the work

35+ years of transactional and regulatory work, including S-1 registration, Section 12(g) reporting, Reg CF and Reg D offerings, cross-border subsidiaries, and licensed regulated programs. Securities filings are completed in coordination with licensed securities counsel and the CPA of record.