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The federal securities laws require the notice to be filed by companies that have sold securities without registration under the Securities Act of 1933 in an offering made under Rule 504 or 506 of Regulation D or Section 4(a)(5) of the Securities Act.
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. Form D details basic information or essential facts about the company for investors.
Form D Form D is the form the issuer files with the SEC notifying the SEC that it is conducting an offering exempt from registration pursuant to Rule 504, 505, or 506 Regulation D or Section 4(5) of the Securities Act of 1933.
When do I file a Form D? Companies must file this notice using the SECs 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 used to file a notice of an exempt offering of securities with the SEC.
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Form D is a brief notice that includes basic information about the company and the offering, such as the names and addresses of the companys executive officers, the size of the offering and the date of first sale.
File your Form D Go to EDGAR and log in using your CIK and access codes. Choose Form D under Make a Filing. After you complete and submit your Form D, an email message will notify you of the status of your submission. Questions about the filing process?
PRIOR NOTICE OF A TRANSACTION.

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