Form D

While companies using an exemption under Regulation D 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.

To find out whether a company has filed a Form D, you should call the SEC’s Public Reference Branch at (202) 942-8090 or send an email to publicinfo@sec.gov. If the company has not filed a Form D, this should alert you that the company might not be in compliance with the federal securities laws.

For more information about exemptions from the SEC registration requirements, please read "Regulation D Offerings" in our Fast Answers databank. You also can view a PDF version of Form D for easier printing.