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Regulation D Basics Any issuer that relies on Rule 504 or 506 must file a Form D with the SEC within 15 calendar days after the first sale of securities in the offering. States are prohibited from imposing any additional requirements other than a notice filing of the Form D.

When do I file a Form D? Companies must file this notice using the SEC's electronic filer system called “EDGAR” within 15 days after the first sale of securities. An amendment is required annually if the offering is ongoing for more than 12 months, or if certain of the information in the notice changes.

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.

Form D is used to file a notice of an exempt offering of securities with the SEC.

Businesses must file this form with the SEC within 15 days of the first sale of securities in a private placement. Although it is easy for most companies to complete and file, it can be easy to overlook – especially if the business in question doesn't have the assistance of qualified experts.

Form D is used to file a notice of an exempt offering of securities with the SEC.

Failure to File Form D Under Rule 507 of Regulation D, the SEC can take action against the issuer that fails to file a Form D, having the issuer enjoined from future use of Regulation D. In some instances, if the violation of Regulation D is willful, it could also constitute a felony.

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.

Form D is important because it keeps you within legal boundaries. You can't simply begin selling securities to fund your business without filing the appropriate paperwork. If your offerings aren't public, you can avoid the typical registration process.

Regulation D requires that companies file a notice of their offering with the SEC using Form D. The SEC does not charge any fees to access the filing system or to file a Form D notice or amendment. Your Form D will be publicly available after filing, as will some information from your Form ID application.

You must file Form D within 15 days of beginning to sell securities. Qualifying for an exemption under Regulation D isn't enough if you don't file on time. Your first “sale” only occurs when an investor is completely under contract to provide funding.

Deadline for Filing Form D You must file Form D within 15 days of beginning to sell securities. Qualifying for an exemption under Regulation D isn't enough if you don't file on time. Your first “sale” only occurs when an investor is completely under contract to provide funding. This timeline refers to 15 business days.