Sunday, December 10, 2017

What is Form D?

Companies may use an exemption under Regulation D to offer and sell securities without having to register the offering with the SEC. When relying on such an exemption, companies must file what’s known as a "Form D" after they first sell their securities. Form D is a brief notice that includes basic information about the company and the offering, such as the names and addresses of the company’s executive officers, the size of the offering and the date of first sale.

If you are thinking about investing in a company that is offering securities pursuant to a Regulation D exemption, you should access the EDGAR database to determine whether the company has filed a Form D. 

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