Regulation D (Reg D)
Regulation D provides and exemption that makes it possible for some companies to avoid registering their securities and filing reports with the SEC, but they are still required to file 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. To find out whether a company has filed a Form D, 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, they might not be in compliance with the federal securities laws.
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