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Houston Private Investments Lawyer

Are you an investor or investment sponsor? Are you experiencing issues with due diligence, paperwork preparation, or paperwork review??

A Houston private investments attorney may be the answer to your investment headaches.

Private investments lawyers are focused on the intricate and dynamic legal framework governing financial investments. Working with one of our experts will help you better manage your investments and mitigate potential problems with clearly defined structures, roles and responsibilities, and more.

Why You Need a Houston Private Investments Lawyer

You can further protect your acquisitions with a Houston, TX private investments attorney, who can help you with adequate due diligence of a deal or an investment. Whether you are a sponsor or an investor, we can help with the life cycle of your potential deal no matter the asset class

You can also learn more about the most typical indications of fraud and financial mismanagement from an experienced Houston private investments lawyer.

Your lawyers may also advise on the kinds of legal claims you could bring if you experienced financial losses that weren’t brought on by typical market movements.

Federal Exemptions

An offer or sale of a security is subject to federal securities laws. It must either be registered with the U.S. Securities and Exchange Commission (SEC) or qualify for an exemption.

Some corporations can issue and sell their securities without registering the offering with the SEC, thanks to the exemptions provided by Regulation D under the Securities Act.

Rule 504

Any company seeking to raise capital from investors must either meet the exemption requirements or register the securities with the SEC and the relevant state securities board(s).

The SEC changed Regulation D by repealing Rule 505 and amending Rule 504 in 2017. Under Rule 504, the previous cap on businesses raising money was increased from $1 million to $10 million. Additionally, there is no restriction on the number of investors, and investors do not have to be accredited. There is also no need for disclosure. The company may advertise under certain conditions.

The SEC must receive a notice on Form D, and “bad actors” are not eligible for the exemption.

Rule 506(b)

When corporations issue and sell securities, Rule 506 of Regulation D allows two special exemptions from registration. Companies that depend on Rule 506 exemptions are permitted to raise unlimited money.

A corporation can be sure it falls within the exemption under Rule 506(b)—a “safe harbor” under the Securities Act—by meeting a couple of requirements, including:

  • The number of “accredited investors” to which the corporation may sell stocks is unlimited, while the maximum number of additional buyers is 35.
  • All non-accredited investors must be “sophisticated,” which means they must have the knowledge and expertise in financial and commercial topics to weigh the benefits and dangers of a potential investment.
  • The business is not permitted to market the securities by general solicitation or advertising.

Speak to a qualified Houston securities lawyer at Titus Law Firm for additional requirements.

Rule 506(c)

Rule 506(c) allows issuers to widely seek and widely publicize an offering as long as the issuer takes reasonable measures to confirm that all buyers in the offering are accredited investors and specific additional requirements in Regulation D are met.

Companies that adhere to Rule 506(b) or (c) need not register their offering of securities with the SEC, but they must submit an electronic form known as Form D to the SEC following their initial sale of shares.

Regulation Crowdfunding

A private company may raise money from the public through Regulation Crowdfunding, an exemption from securities laws.

Crowdfunding is a method that enables small businesses and startups to raise money from numerous people who might not otherwise be considered “accredited investors.”

A Regulation Crowdfunding offering is open to everyone. Nonetheless, you are restricted in how much you may invest in these transactions for any 12-month period due to the dangers of this type of investment. Your annual income and net worth will determine the maximum amount you are permitted to invest.

Regulation A

There are two distinct tiers under Regulation A. In 2015, Regulation A was revised to enable businesses to generate income under two categories corresponding to two sorts of investments.

Under Tier 1, an issuer may raise up to $20 million in 12 months. Tier 2 allows issuers to raise $75 million in a single 12-month period.

Companies in Tier 1 are exempt from ongoing reporting obligations but are still required to submit a report on the outcome of the offering. Companies in Tier 2 are obliged to submit ongoing reports that include the company’s final status and audited financial statements.

Tier 1 and Tier 2 offerings must meet fundamental criteria, such as corporate eligibility, rules for disqualifying bad actors, and disclosure.

Contact one of our Houston securities attorneys for more information on requirements.

Visit Our Office

Titus Law Firm
4101 Greenbriar Drive, #210
Houston, TX 77098

Talk to a Houston Securities Lawyer Today

You can resolve your complex corporate, business, securities, and commercial legal issues with the help of the Houston securities experts at Titus Law Firm. Our legal team can advance your interests despite the complexity of securities litigation.

Contact us today to schedule your appointment.

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Why Us?

Transparency and Details You Can Trust
The details and legalities of real estate law, business law, probate law, and estate planning are nuanced and require the attention of a team that is committed to applying best practices of emerging law and adjacent legal practice areas that lend themselves to better asset management and even generational wealth accumulation.
Integrity, Proficiency, and Quality Service
Principled ethics, honesty, and wholehearted desire to serve our clients with the highest level of care and legal prowess, allows our team to serve clients in a way that exceeds expectations while proficiently cutting time and red tape to get there. Our commitment to quality, communication, and transparency as your Houston Law Firm is undivided and unequaled.
Simplifying & Streamlining Complicated Legal Matters
Synergizing our broadband knowledge of legal matters that impact the bottom line of your life and legacy allow us to move easily across the Houston market to provide legal counsel when it matters most - just before the apex of change. Our ability to move clients into the next chapter of life and the next level of success, is why we are repeatedly chosen by those who need real solutions in real time.


Titus Law Firm is the most professional and knowledgeable firm I've come across. Everyone that is apart of the firm is a huge resource. Mr. Eddison Titus is very passionate about his work and it shows in his skills. I would strongly recommend allowing Titus Law Firm to represent your behalf. Trusted experts with a love for service.
Darian L.
I was truly satisfied with my experience with the Titus Law Firm. He was easy to work with, prompt, and helped make sure my case moved accordingly. Will use them again in the future.
Norris A.
The Titus Law Firm has handled two different law issues successfully for me. I found the office was always professional, helpful and pleasant. I would highly recommend The Titus Law Firm.
Moxie B.
I am very happy with the results I obtained from Titus Law Firm. From the first contact they were very responsive, informative and highly efficient in keeping a case moving to resolution quickly. I highly recommend them for any legal matter.
They have provided excellent service on my case. Their work resulted in very positive results. I could not have made it without their representation and are so grateful for their hard work, diligence, professionalism, and wise counsel
Lurenza C.

Our Process

Creating sophisticated legal solutions with simplicity and ease. Whether you need an estate planning attorney, real estate attorney, or business attorney, The Titus Law Firm can help you determine the legal structure for your current needs.

Meet with our team to determine your current circumstances and future objectives
Your attorney will determine the best strategies and solutions to create, protect, shield, and build wealth
Create peace of mind and a path forward with ease and security

Frequently Asked Questions

What is an "accredited investor"?

An accredited investor is anyone who:

  • Earned more than $200,000 (or $300,000 when combined with a spouse or spousal equivalent) per year for the previous two years and reasonably anticipates doing the same this year
  • Possesses a Series 7, 65, or 82 license in good standing
  • Has a net worth of more than $1 million, individually or jointly with a spouse or spousal equivalent (excluding the value of the individual’s primary residence)
What is a 'bad actor' disqualification?

Suppose the issuer or other relevant parties, such as underwriters, placement agents, directors, officers, and significant shareholders, have experienced a disqualifying event, such as being found guilty of or subject to legal or administrative sanctions for violations of specific laws. In that case, the securities offerings are not allowed to rely on Regulation A.

Talk to a member of our team to understand why.

Areas Served

  • Houston Neighborhoods
  • The Woodlands
  • Sugar Land
  • Katy
  • Tomball