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SEC: New Guidance on Form D e-Filing Requirements

Melissa Klein Aguilar | September 15, 2008

The SEC has posted new guidance for issuers related to their Form D filings.

The Division of Corporation Finance Guidance on Form D Filing Process explains how to electronically file Form D, a form for a notice required to be filed by companies and funds that have sold securities without registration under the Securities Act of 1933 in an offering based on a claim of exemption under Rule 504, 505, or 506 or Section 4(6) of Regulation D.

As noted here, under rules adopted by the SEC earlier this year, a company may voluntarily submit an electronic Form D filing as of Sept....

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