SEC Form D

AAA

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.

INVESTOPEDIA EXPLAINS '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.

RELATED TERMS
  1. SEC Form DEFN14A

    A filing with the Securities and Exchange Commission (SEC) that ...
  2. SEC Form DEFM14A

    A filing with the Securities and Exchange Commission (SEC) that ...
  3. Electronic Data Gathering, Analysis ...

    The electronic filing system created by the Securities and Exchange ...
  4. Regulation D - Reg D

    A Securities and Exchange Commission (SEC) regulation governing ...
  5. Securities And Exchange Commission ...

    A government commission created by Congress to regulate the securities ...
  6. System for Electronic Document ...

    The system used for electronically filing most securities information ...
Related Articles
  1. Get A Job In Compliance
    Professionals

    Get A Job In Compliance

  2. The Flow Of Company Information
    Investing Basics

    The Flow Of Company Information

  3. Policing The Securities Market: An Overview ...
    Investing Basics

    Policing The Securities Market: An Overview ...

  4. Where can I find a company's annual ...
    Investing

    Where can I find a company's annual ...

comments powered by Disqus
Hot Definitions
  1. Letter Of Credit

    A letter from a bank guaranteeing that a buyer's payment to a seller will be received on time and for the correct amount. ...
  2. Due Diligence - DD

    1. An investigation or audit of a potential investment. Due diligence serves to confirm all material facts in regards to ...
  3. Certificate Of Deposit - CD

    A savings certificate entitling the bearer to receive interest. A CD bears a maturity date, a specified fixed interest rate ...
  4. Days Sales Of Inventory - DSI

    A financial measure of a company's performance that gives investors an idea of how long it takes a company to turn its inventory ...
  5. Accounts Payable - AP

    An accounting entry that represents an entity's obligation to pay off a short-term debt to its creditors. The accounts payable ...
  6. Ratio Analysis

    Quantitative analysis of information contained in a company’s financial statements. Ratio analysis is based on line items ...
Trading Center