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
By Lori Schock, former Director of the SEC’s Office of Investor Education and Assistance. This document is no longer being updated and may include information that is out-of-date. However, the content may be useful background information or provide …
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 … information about the SEC’s FOIA procedures, please visit the SEC’s FOIA Services website located at: SEC.gov | …
Nov 30, 2023
… send us your complaint using our online complaint form at https://www.sec.gov/oiea/Complaint.html . You can also reach us by … 100 F Street, N.E. Washington, D.C. 20549-0213 http://www.sec.gov You could also contact the financial regulator …
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 … taxation and investments, please consult a tax advisor or visit the IRS website . 8. Be aware of behaviors that can … . 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/ . …