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: | ||
504 Rule 504 of Regulation D provides an exemption from the registration requirements of the federal securities ... EDGAR The Electronic Data Gathering, Analysis, and Retrieval database run by the U.S. Securities and Exchange Commission ... Insider Trading Making investment decisions based on information that is not yet public. Although trading based on this ... |
« View the Stock Market Dictionary »
Latest Financial Advice
- Roth IRA Tax Guidelines
- Impact of News on Trader’s Psychology and Market Trends
- Overconfidence Bias in Stock Trading: A Critical Analysis
- Mastering Mindfulness Practices for Traders
- Impact of Market Volatility on Individual Psychology
- Leveraging Intuition in Stock Trading: A New Approach
- Mastering Mental Strategies for Effective Swing Trading
Free Investment Advice
Get free stock market tips and investing advice by subscribing to our newsletter: |
* Your information will not be shared or sold. |
Recommended Reading
Categories
- Trading Basics
- Investing 101
- Investing Essentials
- Understanding the Risks
- Beginning to Trade
- Trading Strategies
- Trading Psychology
- Retirement Investing
- Personal Finance
- Advanced Trading
- Penny Stocks
- FOREX Trading
- Commodity Futures
- Stock Tips
- Going Public
- Real Estate
- Research Tools
- Stock Spam
- Reviews
- Stock Market Dictionary