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SEC Guidelines & Legal Referral

Surfview Entertainment strives to assure the SEC that producers are aware of the law in regard to advertising for active investors.

Producers who have a listing in "Projects Seeking Active Investors" must only be advertising "Business Plan Available To Active Investors". When a potential investor responds, only something resembling a business plan may be forwarded, (i.e., no private placement offerings!).

The SEC insists that producers know the distinction between an "active investor" and a "passive investor".

Surfview Entertainment will not be liable for and does not offer legal advice.  It is strongly suggested that you contact a knowledgable entertainment finance attorney early.

A knowledgable entertainment finance attorney should be familiar with the following.

Active Investor (Nonsecurities) Vehicles.

  • The Self-funded Sole Proprietorship
  • Business Plans
  • The Investor-Financing Agreement
  • Joint-Venture Financing
  • The Initial Incorporation

  • Should your search for a few active investors be unsuccessful, (there being too many potential participants needed for full funding), your knowledgable entertainment finance attorney should be familiar with the following.

    Passive Investor (Securities) Vehicles.

  • The Investment Contract
  • Limited Partnerships
  • Limited Liability Companies
  • Corporate Financing
  • The Out-of-State Corporation
  • S Corporations
  • Small Corporate Offering Registration
  • Regulation A Offerings
  • S-1 Public (Registerred) Offerings
  • Over-the-Counter Companies
  • A NASDAQ Company
  • Stock Exchange Companies
  • Convertible or Participatory Debt Instruments
  • Regulation D, Rule 504 Offerings
  • Regulation D, Rule 505 Offerings
  • Regulation D, Rule 506 Offerings

  • As you can can see, there are a lot of choices to know about. So, before listing your production with Surfview Entertainment, please discuss your options with a knowledgable entertainment finance attorney. If you are in need of one, take a look at the list of Entertainment Attorneys.

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    Copyright © 1996 James E. Tessier. All Rights Reserved.