E34: Revisit Episode 1: Intro to Alternative Assets - Deep Dive into the Regulatory Framework

Summary

In this episode of Alt Investing Made Easy, Sarah Florer and Roland Wiederaenders delve into the regulatory framework governing securities, focusing on the Securities Act of 1933 and its implications for private offerings. They discuss the importance of Regulation D, the role of accredited investors, and the concept of materiality in disclosures. The conversation highlights the evolution of private placements and the significance of thorough risk assessment in investment opportunities, emphasizing the balance between consumer protection and market efficiency.

Sponsored by:
Real Advisers, Austin, Texas

Special thanks to:

Grable Martin PLLC 

Red Sun Creative, Austin, Texas

For more information: AltInvestingMadeEasy.com

Please contact us: [e-mail]

Roland Wiederanders: [e-mail] 

Sarah Florer: [e-mail]

Takeaways

All securities must be registered, with exceptions for private securities.

Regulation D is vital for private offerings, allowing exemptions from registration.

A significant majority of private offerings rely on Regulation D.

Accredited investors are typically wealthier individuals who can bear investment risks.

Materiality in disclosures is subjective and context-dependent.

Disclosure requirements protect both investors and deal sponsors.

The process of preparing a Private Placement Memorandum (PPM) is educational for sponsors.

Understanding state laws, known as blue sky laws, is essential for compliance.

The balance between regulation and market efficiency is crucial.

The democratization of capital is necessary for a healthy economy.

Chapters

00:00 Introduction to Alternative Assets and Regulatory Framework

07:41 Understanding Regulation D and Its Importance

12:33 The Role of Accredited Investors in Private Offerings

18:14 Private Placements and Changes in Securities Law

24:15 Materiality and Disclosure Requirements in Securities

30:51 Conclusion and Legal Disclaimer

Disclaimer: “This production is for educational purposes only and is not intended as investment or legal advice.”

© 2025 AltInvestingMade Easy.com LLC All rights reserved

Creators and Guests

Host

Roland Wiederaenders

Co-founder of the Alt Investing Made Easy podcast, investment advisor, and corporate securities attorney with expertise in private investment funds, corporate/securities issues, mergers and acquisitions, partnership structuring, and federal income tax matters. Roland is also a member of Grable Martin PLLC.

Host

Sarah Florer

Co-founder of the Alt Investing Made Easy podcast, investment advisor, and corporate attorney with expertise in corporate finance and securities, structuring and restructuring, and commercial matters. Sarah is also a member of Grable Martin PLLC.

Producer

Anthony Carrano

Co-founder of the Alt Investing Made Easy podcast, fractional Chief Marketing Officer, entrepreneur, and Managing Partner at Dunamis Marketing.

What is Alt Investing Made Easy?

Join attorneys Sarah Florer and Roland Roland Wiederaenders as they navigate through the maze of market jargon and reveal the secrets of diversifying your portfolio. Whether you're a seasoned investor or taking your first step toward financial freedom, we empower you with the knowledge and insights you need to thrive in the dynamic landscape of alternative assets. Get ready to transform how you invest, inspiring a new way of thinking about your finances, and discover how to make your money work harder. Dive in with us, and let's make investing in alternative assets easy, giving you the confidence to navigate the financial landscape, one episode at a time.