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If you are new to the idea of raising money to invest in apartment buildings, the particulars of complying with SEC regulations may have you spooked. No one wants to inadvertently break the law and face restitution, sanctions, or worse—fines and jail time! The good news is, with an assist from an SEC attorney, it is not as difficult to comply with securities laws as you might think.

Mauricio Rauld is the founder and CEO of Premier Law Group, a boutique securities firm specializing in asset protection and SEC compliance. Mauricio has 18-plus years of experience helping multifamily investors increase and safeguard their wealth through syndications. He is a regular contributor to The Real Estate Guys Radio show and a faculty member of the Summit at Sea, a week-long conference for elite real estate entrepreneurs. In addition, Mauricio serves as legal advisor to The Real Estate Guys and asset protection advisor for The Elevation Group.

Today, Mauricio sits down with me to explain his role as a syndication lawyer. He discusses the two legal routes to SEC compliance, the idea of a ‘preexisting substantive relationship,’ and the consequences of breaking the law. Mauricio shares the difference between 506(b) and 506(c), describing the right way to use social media to connect with investors under each exemption. Listen in as Mauricio walks us through the process of working with an SEC attorney, including the general timeline and approximate cost for ensuring compliance with securities law.

Mauricio Rauld – Key Takeaways

Mauricio’s role as a syndication lawyer

What qualifies as a security

The two legal routes to compliance

  1. Register with SEC (two-year process)
  2. Find exemption, follow rules

The consequences of not following the law

Mauricio’s advice around disclosures

The benefit of using an exemption

The features of the 506(b) exemption

The features of the 506(c) exemption

The idea of a preexisting substantive relationship

How to use social media to connect with investors under 506(b)

The process of working with an SEC attorney

Mauricio’s insight around the timeline and general cost of compliance

Connect with Mauricio

Premier Law Group

Email [email protected]


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