SEC Mandates Electronic Filing of Form D
21 Mar 2008
Charles S. Gittleman,
Russell D. Sacks
Regulation D under the Securities Act of 1933 (the “Act”) permits the sale of securities by issuers of those securities without registration under the Act, establishing safe harbor provisions for the private placement of securities under the Act. An issuer claiming an exemption under Regulation D will then file a Form D with the U.S. Securities and Exchange Commission (the “SEC”), thereby notifying the SEC of the Regulation D offering. The SEC has adopted proposed rule amendments mandating electronic filing of information required by Form D, and significantly modifying that form.
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