What Is SEC Form D? SEC Form D is required for companies selling securities under Regulation (Reg) D or Section 4(a)(5) exemptions. Form D provides basic information about the company for investors.

On December 20, 2024, the U.S. Securities and Exchange Commission (the “SEC”) announced charges against two private companies and one registered investment adviser (the “Parties”). These charges ...

Securities issuers and their counsel have historically relied on the fact that the SEC has not pursued enforcement actions against issuers that have not filed, or been delayed in filing, a Form D in ...

Not every entrepreneur realizes this, but even if you do a completely private and exempt offering in the U.S., a filing with the Securities and Exchange Commission is required. In fact, these filings ...