Securities Law Prof Blog

Editor: Eric C. Chaffee
Univ. of Toledo College of Law

Monday, September 15, 2008

SEC Begins Voluntary Online Filings of Form D

The SEC began accepting filings of Form D through the Internet.  The new rules providing for online filing and simplification of Form D notices were approved by Commission at the end of last year. Form D filings are made mostly by smaller companies and notify the SEC of sales of securities in private and certain other non-registered offerings of securities. Many states also require Form D notice filings.

The SEC's new Form D online filing system is voluntary until March 16, 2009. Companies and funds required to file Form D notices may continue to file them on paper until that date, following either the old or new information requirements. Form D filers are encouraged to use the voluntary system and inform SEC staff about their experiences. The SEC staff is also working with the North American Securities Administrators Association to link its Form D filing system with a system built by state securities regulators that would accept state Form D filings.

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