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Bookmark or Share- Filing and Amending a Form D Notice - SEC.govSEC Filer Support Staff is available to assist small companies and others with questions on filing and amending Form D notices. Our Guidance on Form D Filing Process may answer your questions on the EDGAR Form D filing process. You may direct additional questions about filing the process to SEC personnel by telephoning (202) 551-8900.
- SEC.gov | Exemption for limited offerings not exceeding $10 million ...Exemption for limited offerings not exceeding $10 million—Rule 504 of Regulation D. Rule 504 of Regulation D exempts from registration the offer and sale of up to $10 million of securities in a 12-month period. A company is required to file a notice with the Commission on Form D within 15 days after the first sale of securities in the offering.
- Filing a Form D notice - SEC.govForm D is used to file a notice of an exempt offering of securities with the SEC. The federal securities laws require the notice to be filed by companies that have sold securities without registration under the Securities Act of 1933 in an offering made under Rule 504 or 506 of Regulation D or Section 4(a)(5) of the Securities Act.
- General solicitation — Rule 506(c) - SEC.govGeneral solicitation — Rule 506 (c) Rule 506 (c) permits issuers to broadly solicit and generally advertise an offering, provided that: Purchasers in a Rule 506 (c) offering receive “ restricted securities. ” A company is required to file a notice with the Commission on Form D within 15 days after the first sale of securities in the offering.
- SEC.gov | Form DTo file a Form D notice using your CIK number and password, visit the online forms login page. If you would like to organize your Form D information before entering it online, you may use a paper version of Form D .
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