Regulation D
Definition:
According to the Securities Act of 1933, any offer to sell securities must either be registered with the SEC or meet an approved exemption. Regulation D also called "Reg D" provides three exemptions from the registration requirements. Regulation D allows some smaller companies to offer and sell securities without registering their securities with the SEC.Companies using a Regulation D exemption typically do not have to file reports with the SEC. Companies using a Regulation D must file a "Form D" after they sell their securities. Form D is a brief notice that includes limited information about the company, the names and addresses of the company's owners and stock promoters.Consequences of Regulation D:
An incorrectly filed Regulation D or Form D can subject your organization and its owners to legal penalties. The legal issues can be civil and criminal and include SEC violations. A poorly structured Regulation D can discourage potential investors and investment groups from purchasing securities.What a Lawyer can do for you:
A qualified Business and Securities lawyer can assist you and your company in applying for a Regulation D exemption and in filing a Form D. A business lawyer with experience in securities matters can defending you and you company against any legal action that results from errors in a Regulation D.Lawyer Referral Service:
If you are interested in assistance from an experienced business lawyer with Regulation D filings contact Attorney Search Network today. We will help you locate the right business lawyer.
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