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Regulation D

Under the Securities Act of 1933, any offer to sell securities must either be registered with the SEC or meet an exemption. Regulation D (or Reg D) provides three exemptions from the registration requirements, allowing some smaller companies to offer and sell their securities without having to register the securities with the SEC. For more information about these exemptions, read our publications on Rules 504, 505, and 506 of Regulation D.

Additional Comments:

While companies using a Reg D exemption do not have to register their securities and usually do not have to file reports with the SEC, they must file what?s known as a "Form D" after they first sell their securities. Form D is a brief notice that includes the names and addresses of the company's owners and stock promoters, but contains little other information about the company.

Related Terms:

Rule 504 of Regulation D provides an exemption from the registration requirements of the federal securities ...

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