Regulation A
E8069
Regulation A is a U.S. securities offering exemption that allows smaller companies to raise limited amounts of capital from the public with simplified registration and reporting requirements compared to a full SEC-registered offering.
All labels observed (3)
| Label | Occurrences |
|---|---|
| Regulation A canonical | 5 |
| Regulation A+ | 2 |
| Reg A+ (as amended under the JOBS Act) | 1 |
How this entity was disambiguated
This entity first appeared as the object of triple T86236 — resolving that mention is where its identity was fixed. The disambiguator weighed these candidate entities and picked the highlighted one (or “None”, minting a new entity). This is how homonymy is resolved: the same surface form can point to different entities.
NED1
Entity disambiguation (via context triple)
gpt-5-mini-2025-08-07
Target entity: Regulation A Context triple: [U.S. Securities Act of 1933, laterInterpretedBy, Regulation A]
-
A.
Regulation D
Regulation D is a set of SEC rules that provides exemptions from the registration requirements for certain private offerings of securities in the United States.
-
B.
U.S. Securities Act of 1933
The U.S. Securities Act of 1933 is a landmark federal law that established strict disclosure requirements for securities offerings to protect investors and restore confidence in financial markets after widespread abuses revealed by the stock market crash and ensuing economic crisis.
-
C.
U.S. Securities Exchange Act of 1934
The U.S. Securities Exchange Act of 1934 is a landmark federal law that created the Securities and Exchange Commission (SEC) and established comprehensive regulation of secondary trading of securities in the United States to restore investor confidence and prevent market abuses.
-
D.
Code of Federal Regulations
The Code of Federal Regulations is the codification of the general and permanent rules and regulations issued by the departments and agencies of the United States federal government.
-
E.
Sarbanes–Oxley Act of 2002
The Sarbanes–Oxley Act of 2002 is a U.S. federal law that established sweeping reforms to improve corporate governance, financial reporting, and auditor independence in response to major accounting scandals.
- F. None of above. chosen
- G. Unsure - the case is ambiguous/there is not enough information to decide.
NED2
Entity disambiguation (via description)
gpt-5-mini-2025-08-07
Target entity: Regulation A Target entity description: Regulation A is a U.S. securities offering exemption that allows smaller companies to raise limited amounts of capital from the public with simplified registration and reporting requirements compared to a full SEC-registered offering.
-
A.
Regulation D
Regulation D is a set of SEC rules that provides exemptions from the registration requirements for certain private offerings of securities in the United States.
-
B.
U.S. Securities Act of 1933
The U.S. Securities Act of 1933 is a landmark federal law that established strict disclosure requirements for securities offerings to protect investors and restore confidence in financial markets after widespread abuses revealed by the stock market crash and ensuing economic crisis.
-
C.
U.S. Securities Exchange Act of 1934
The U.S. Securities Exchange Act of 1934 is a landmark federal law that created the Securities and Exchange Commission (SEC) and established comprehensive regulation of secondary trading of securities in the United States to restore investor confidence and prevent market abuses.
-
D.
Code of Federal Regulations
The Code of Federal Regulations is the codification of the general and permanent rules and regulations issued by the departments and agencies of the United States federal government.
-
E.
Sarbanes–Oxley Act of 2002
The Sarbanes–Oxley Act of 2002 is a U.S. federal law that established sweeping reforms to improve corporate governance, financial reporting, and auditor independence in response to major accounting scandals.
- F. None of above. chosen
Statements (50)
| Predicate | Object |
|---|---|
| instanceOf |
U.S. securities offering exemption
ⓘ
exempt offering framework ⓘ |
| abbreviation | Reg A ⓘ |
| allows |
convertible securities offerings
ⓘ
debt securities offerings ⓘ equity securities offerings ⓘ warrants offerings ⓘ |
| amendedBy | Jumpstart Our Business Startups Act ⓘ |
| contrastWith |
Regulation Crowdfunding
ⓘ
Regulation D ⓘ fully registered public offerings on Form S-1 ⓘ |
| effectiveDateOfMajorAmendments | June 2015 ⓘ |
| feature |
allows public offerings without full Securities Act registration
ⓘ
allows sales to both accredited and non-accredited investors ⓘ permits general solicitation and advertising ⓘ reduced ongoing reporting obligations compared to fully registered offerings ⓘ simplified disclosure requirements ⓘ |
| formerlyMaxOfferingAmountTier2 | $50 million in a 12-month period ⓘ |
| hasTier |
Tier 1
ⓘ
Tier 2 ⓘ |
| investorLimitTier1 | no specific investment limit by income or net worth ⓘ |
| investorLimitTier2 | non-accredited investors limited to 10% of greater of income or net worth in some cases ⓘ |
| issuerEligibility | U.S. or Canadian companies ⓘ |
| issuerIneligible |
SEC reporting companies using certain forms
ⓘ
blank check companies ⓘ investment companies ⓘ issuers disqualified under bad actor rules ⓘ |
| JOBSActTitle | Title IV ⓘ |
| jurisdiction |
United States of America
ⓘ
surface form:
United States
|
| legalBasis |
U.S. Securities Act of 1933
ⓘ
surface form:
Securities Act of 1933
|
| maxOfferingAmountTier1 | $20 million in a 12-month period ⓘ |
| maxOfferingAmountTier2 | $75 million in a 12-month period ⓘ |
| offeringLimitAppliesTo | aggregate amount of securities sold in a 12-month period ⓘ |
| permitsTestingTheWaters | yes ⓘ |
| postAmendmentName |
Regulation A
self-linksurface differs
ⓘ
surface form:
Regulation A+
|
| purpose |
facilitate capital raising by smaller companies
ⓘ
provide an exemption from full SEC registration ⓘ |
| regulator |
Securities and Exchange Commission
ⓘ
surface form:
U.S. Securities and Exchange Commission
|
| requires |
SEC qualification of Form 1-A before sales
ⓘ
offering statement on Form 1-A ⓘ |
| testingTheWaters | allows solicitation of investor interest before filing Form 1-A ⓘ |
| Tier1Reporting | exit report on Form 1-Z ⓘ |
| Tier1Requirement | state securities law registration or qualification ⓘ |
| Tier2Preemption | preempts most state securities registration requirements ⓘ |
| Tier2ReportingForms |
Form 1-K
ⓘ
Form 1-SA ⓘ Form 1-U ⓘ |
| Tier2Requires |
audited financial statements
ⓘ
ongoing periodic reports to the SEC ⓘ |
| usedFor | mini-IPO style offerings ⓘ |
How these facts were elicited
The pipeline generated the facts above by prompting gpt-5.1 with this entity's name + description and the instruction below.
Instruction
You are a knowledge base construction expert. Given a subject entity and a description of it, return factual statements that you know for the subject as a JSON list of dictionaries(triples), where keys must be "subject", "predicate" and "object". The number of facts may be very high, between 25 to 50 or more, for very popular subjects. For less popular subjects, the number of facts can be very low, like 5 or 10. # Requirements - If you don't know the subject at all, return an empty list. - If the subject is not a named entity, return an empty list. - Include at least one triple where predicate is "instanceOf". - Do not get too wordy. - Separate several objects into multiple triples with one object.
Input
Subject: Regulation A Description of subject: Regulation A is a U.S. securities offering exemption that allows smaller companies to raise limited amounts of capital from the public with simplified registration and reporting requirements compared to a full SEC-registered offering.
Referenced by (8)
Full triples — surface form annotated when it differs from this entity's canonical label.
this entity surface form:
Regulation A+
this entity surface form:
Reg A+ (as amended under the JOBS Act)
this entity surface form:
Regulation A+