On the SEC's website they write that under the Securities Act of 1933, any offer to sell securities must be registered with the SEC or meet an exemption. Regulation D (or Reg D) contains three rules providing exemptions from the registration requirements.
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 is known as a "Form D" after they first sell their securities.
The Form D is a brief notice that includes the names and addresses of the company’s executive officers and stock promoters, but contains little other information about the company.
Electronic filing of Form D was phased in during the period September 15, 2008 to March 16, 2009.
Make sure that your broker/deal is in compliance with Regulation D before investing.
Securities Lawyer, Lars K. Soreide, of Soreide Law Group, PLLC, represents clients nationwide. Call to speak with an attorney regarding your investment losses for a free consultation on how to potentially recover those losses: 888-760-6552. Or you may visit our website at: https://www.securitieslawyer.com.
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