17 C.F.R. § 239.500 Form D, notice of sales of securities under Regulation D and section 4(6) of the Securities Act of 1933.
Title 17 - Commodity and Securities Exchanges
(a) Five copies of a notice on this form shall be filed with the Commission no later than 15 days after the first sale of securities in an offering under Regulation D (§230.501—§230.508 of this chapter) or under section 4(6) of the Securities Act of 1933. (b) One copy of every notice on Form D shall be manually signed by a person duly authorized by the issuer. (c) When sales are made under §230.505, the notice shall contain an undertaking by the issuer to furnish to the Commission, upon the written request of its staff, the information furnished to non-accredited investors. (d) Amendments to notices filed under paragraph (a) need only report the issuer's name and the information required by Part C and any material change in the facts from those set forth in Parts A and B. (e) A notice on Form D shall be considered filed with the Commission under paragraph (a) of this section: (1) As of the date on which it is received at the Commission's principal office in Washington DC; or (2) As of the date on which the notice is mailed by means of United States registered or certified mail to the Commission's principal office in Washington, DC, if the notice is delivered to such office after the date on which it is required to be filed. [54 FR 11374, Mar. 20, 1989] Editorial Note: For
Title 17: Commodity and Securities Exchanges
PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933
Subpart B—Forms Pertaining to Exemptions
§ 239.500 Form D, notice of sales of securities under Regulation D and section 4(6) of the Securities Act of 1933.
