Get Ohio Division Of Securities 3 Q

This one can be a gotcha; many companies don't realize that if you increase the size of the round by more than 10%, you must immediately file an amended Form D. Although a Form D filing is quick and easy, if the company forgets to file it, the company can lose its future eligibility for an exempt Reg D offering.

a filing fee of $100 ($50 for subsequent filings within the same calendar year) is paid to the Division. a filing fee of $100 must be paid to the Division. In addition, Ohio accepts electronic filings of Form D's through the North American Securities Administrators Association's (NASAA) Electronic Filing Depository.

The SEC does not charge any filing fee for a Form D notice or amendment. Form D notices and amendments must be filed online using the SEC's EDGAR (Electronic Data Gathering, Analysis and Retrieval) system.

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.

Key Takeaways. Form D, also known as the Notice of Sale of Securities, is required by the SEC for companies selling securities in a Regulation (Reg) D exemption or with Section 4(6) exemption provisions.