Form D is a form that must be filed with the SEC anytime you solicit or accept investments from a third party and that investment is exempt from the SEC’s full filing requirements.

For example, if you raise $1,000,000 from one investor who is an accredited investor, you likely won’t have to file the full SEC filing, but you will still have to file Form D to let them know that you’ve make an exempt investment transaction. describes a Form D:

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 securities. Form D is a brief notice that includes basic information about the company and the offering, such as the names and addresses of the company’s executive officers, the size of the offering and the date of first sale.

Form D is in lieu of filing as a public offering, and must be filed electronically with the SEC no later than 15 days after the date of the first sale of any securities for which this Form D would be covering. A new Form D must be filed with each new offering.

There is no filing fee for Form D, but there are state equivalents which may have filing fees and other requirements.

Note: Form D is only valid when the securities offering is exempt from the filing requirements under Regulation D from the SEC. These include Rules 504, 505, and 506, which are the most common exemptions from the SEC filing requirements.

For more information on maximizing the value of your company, contact us at or by calling 919-912-9640.

[contact-form-7 404 "Not Found"]

About the Firm: Law Plus Plus focuses on making the legal system easier for businesses and business owners. The firm offers many flat rate prices, reasonable retainer packages, and easy to understand policies and procedures. Law++ has a history of strong pro bono services, benevolent networking and creating everlasting relationships with the goal of building a stronger community. The firm offers formations, contract drafting and reviewing, mergers and acquisitions, estate planning documents and more, all of which is focused around protecting the business and the business owner’s legacy.

Disclaimer: The Information found in our blog is for educational purposes only, and is not meant as legal advice. If you need legal advice, please contact an attorney. Nothing in this blog is intended to create an attorney-client relationship.


The information on this website is not intended to create an attorney-client relationship. Any information is meant strictly for legal educational purposes and is not intended to be legal advice.

© 2020 Law Plus Plus


By contacting an attorney, you are presenting the option for that attorney to accept your case, and that attorney has the option to accept or reject your case. Any information presented to an attorney at Law Plus Plus does not automatically create an attorney client relationship.


We make no warranties as to the security of information presented or submitted through this website.

Monthly NewsletterGet new articles and firm updates directly to your inbox!