Overview of Capital Resources -
U.S. Securities Laws 
(Slide 11  of 50)

• Compliance with applicable U.S. and State securities laws is important to a successful fund raising campaign:
  • It’s the law.
  • Failure to comply can lead to civil and criminal penalties for the company and the individuals conducting the offering.
  • Failure to comply can result in management and founders inadvertently providing their personal guarantee of the company’s success.
  • Failure to comply can make future fund raising more difficult and expensive.
  • Investors expect compliance. Failure to comply will turn away many sophisticated investors.

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