Form D Filings

Under the Securities Act of 1933, any offer to sell securities must either be registered with the SEC or meet an exemption. Regulation D (or Reg D) contains three rules providing exemptions from the registration requirements, allowing some companies to offer and sell their securities without having to register the securities with the SEC. For more information about these exemptions, read our publications on Rules 504, 505, and 506 of Regulation D.

Companies relying on a Reg D (17 CFR § 230.501 et seq.) exemption do not have to register their offering of securities with the SEC, but they must file what’s known as a “Form D” electronically with the SEC after they first sell their securities. Form D is a brief notice that includes the names and addresses of the company’s promoters, executive officers and directors, and some details about the offering, but contains little other information about the company. Reg D Form Ds are filed electronically with the SEC Edgar system

This data is made available to the public.  All the filings from January 2015 to current day were downloaded.   A system was developed to extract and index the data.  The development team designed a web-based user interface.   A multitude of unique filters allows the user build complex queries to view and download relevant information on Reg D filings.   For example,

Currently, there are over 80,000 records in the database.   The system is updated four times a day acquiring the most recent Form D filings in the SEC Edgar database.

Search Form D DatabaseRetrieve and Download Form D Information

 

Reg A+

May 16, 2105 the SEC released the guidelines for Title II of the JOBS Act of 2012.