Jun 15, 2026
Companies may use an exemption under Regulation D to offer and sell securities without having to register the offering with the SEC. When relying on such an exemption, companies must file what’s known as a " Form D " after they first sell their …
Jan 6, 2026
… earns. You can watch your money grow over time even if you only put a small amount of money into savings right now. The …
Sep 23, 2025
… for company information on the websites of DBOT ATS (https://dbottrading.com), Global OTC ATS ( https://www.globalotc.com ), and OTC Link ATS ( …
Jul 23, 2025
… available for review on the Commission’s website at http://www.sec.gov. Instructions for accessing, or requesting access … documents are located and provided as quickly as possible. Only one subject should be included per request, i.e., … information about the SEC’s FOIA procedures, please visit the SEC’s FOIA Services website located at: SEC.gov | …
Nov 30, 2023
… credit unions. However, for simplicity, this Bulletin will only refer to bank issued CDs. For additional information on … send us your complaint using our online complaint form at https://www.sec.gov/oiea/Complaint.html . You can also reach us by …
Apr 13, 2023
Rule 504 of Regulation D provides an exemption from the registration requirements of the federal securities laws for some companies when they offer and sell up to $10,000,000 of their securities in any 12-month period. Except in limited circumstances, …
May 26, 2022
A blank check company is a development stage company that has no specific business plan or purpose or has indicated its business plan is to engage in a merger or acquisition with an unidentified company or companies, other entity, or person. These …
May 4, 2022
… learn more about avoiding fraudulent investment schemes, visit our “ How to Avoid Investor Fraud ” webpage on … invest for the long term. Buying a single investment or only one type of investment may increase the risk and … . Report possible securities fraud to the SEC online at www.sec.gov/tcr . Visit Investor.gov , the SEC’s website for …
Jun 22, 2021
Under the federal securities laws, any offer or sale of a security must either be registered with the SEC or meet an exemption. Regulation D under the Securities Act provides a number of exemptions from the registration requirements, allowing some …
Jun 10, 2021
… by brokers and investment advisers, please see http://www.Investor.gov/CRS . Understand Your Fees You will pay a … For more information on FDIC deposit insurance, please visit the FDIC’s website at https://www.fdic.gov/resources/deposit-insurance/ . …