DEFINITION of 'SEC Form D'

A filing with the Securities and Exchange Commission (SEC) required for companies that are selling securities in reliance on a Regulation D exemption or Section 4(6) exemption provisions.

Form D is a brief notice of a company's executive officers and stock promoters, in lieu of the regular reports required when no exemption under Regulation D exists.

Form D must be filed no later than 15 days after the first sale of securities.

BREAKING DOWN 'SEC Form D'

Form D is also known as the Notice of Sale of Securities and is a requirement under Regulation D, Section 4(6) and/or the Uniform Limited Offering Exemption of the Securities Exchange Act of 1933.

This act, often referred to as the "truth in securities" law, requires that these registration forms, providing essential facts, are filed to disclose important information upon registration of a company's securities. This helps the SEC achieve the objectives of this act - requiring investors to receive significant information regarding securities offered and prohibiting fraud in the sale of the offered securities.

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