Pre-IPO Hype

    Compliance & Regulatory Information

    Last Updated: January 1, 2025

    Pre-IPO Hype is committed to maintaining the highest standards of compliance with all applicable laws and regulations governing our industry and services. Is Pre-IPO Hype legit? See our full transparency page.

    Securities Law Compliance

    Important Disclaimer

    Pre-IPO Hype is not a registered broker-dealer, investment advisor, or investment company under the Securities Exchange Act of 1934 or the Investment Company Act of 1940. We do not provide investment advice, recommendations, or offers to buy or sell securities.

    Our Role

    We provide marketing and investor acquisition services to companies engaged in lawful securities offerings, including:

    • Regulation CF (Crowdfunding) offerings
    • Regulation A+ offerings
    • Regulation D private placements
    • Other exempt securities offerings

    Client Responsibilities

    Our clients are responsible for:

    • Ensuring all securities offerings comply with applicable laws
    • Filing required disclosures with the SEC and state regulators
    • Maintaining accurate and current offering documents
    • Complying with investor communication requirements

    Advertising Standards

    All marketing materials and campaigns created by Pre-IPO Hype adhere to:

    • SEC Guidelines: No false or misleading statements about investment opportunities
    • Platform Rules: Compliance with crowdfunding platform advertising policies
    • FTC Requirements: Clear disclosure of material connections and sponsored content
    • State Regulations: Adherence to applicable state securities laws

    Data Protection Compliance

    GDPR Compliance

    For European users, we comply with the General Data Protection Regulation (GDPR):

    • Lawful basis for data processing
    • Data subject rights (access, rectification, erasure)
    • Data protection impact assessments
    • Breach notification procedures

    CCPA Compliance

    For California residents, we comply with the California Consumer Privacy Act (CCPA):

    • Right to know what personal information is collected
    • Right to delete personal information
    • Right to opt-out of the sale of personal information
    • Non-discrimination for exercising privacy rights

    Anti-Money Laundering (AML)

    While Pre-IPO Hype does not handle investor funds directly, we maintain AML awareness by:

    • Conducting due diligence on client companies and their offerings
    • Monitoring for suspicious activities or red flags
    • Cooperating with law enforcement investigations when required
    • Training staff on AML recognition and reporting

    Platform Compliance

    We maintain compliance with major crowdfunding platforms:

    Regulation CF Platforms

    • • Wefunder
    • • StartEngine
    • • Republic
    • • SeedInvest

    Regulation A+ Platforms

    • • DealMaker
    • • Netcapital
    • • UpMarket
    • • Custom portals

    Ongoing Monitoring

    Regulatory Updates

    We continuously monitor regulatory changes through:

    • SEC rulemaking and guidance updates
    • FINRA communications and alerts
    • State securities administrator bulletins
    • Industry association updates

    Compliance Training

    Our team receives regular training on:

    • Securities law fundamentals
    • Marketing compliance requirements
    • Platform-specific rules and updates
    • Data protection and privacy laws

    Compliance Contacts

    For compliance-related questions or to report concerns:

    Compliance Officer: compliance@preipohype.com

    Legal Department: legal@preipohype.com

    Phone: 1-386-230-0651

    Whistleblower Protection

    Pre-IPO Hype maintains a confidential reporting system for compliance concerns and prohibits retaliation against individuals who report potential violations in good faith. Reports can be made anonymously through our compliance hotline or email.