What you need to know about filing a Form D

February 25, 2019

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SEC Form D Filing Requirements

You are required to file a Form D with the SEC if you are raising funds form investors via a Reg D offering.

Form D is a required SEC filing for privately held companies that raise capital. It is used to file a notice of exempt securities offering under SEC Reg D.

The Form D must be filed within 15 days of the first sale of securities.

Q: What is an exempt offering of securities?

A: Simply put, funds raised via private offerings. Under federal law, companies may not sell securities unless they have been registered with the SEC or an exemption is available.

To learn more about Reg D, see our page on Reg D.

Once you have your Reg D compliant Private Placement Memorandum completed, visit the SEC website to download and file your Form D.

 

State Form D Filings

Note: Each state has a corresponding filing and fee schedule for Form D submissions.

Fees: Each state has their own registration fees. This site has a list of all the state fees (to be sure, check with your specific state sites below). See individual state sites below for more information.

  1. Alabama Form D Filing: https://revenue.alabama.gov/forms/
  2. Alaska Form D Filing: https://www.commerce.alaska.gov/web/dbs/Securities/ExemptionsfromRegistration.aspx
  3. Arizona Form D Filing: https://www.azcc.gov/divisions/securities/licensing_and_registration/pdf/Regulation%20D%20-%20Q%20%20A.pdf
  4. Arkansas Form D Filing: http://www.securities.arkansas.gov/page/353/registration-exemption
  5. California Form D Filing: http://www.dbo.ca.gov/Licensees/Corporate_Securities_Law/faqs.asp#b20
  6. Colorado Form D Filing:  https://www.colorado.gov/pacific/dora/registration-exemption-filings
  7. Connecticut Form D Filing: https://portal.ct.gov/DOB/Corporate-Finance/Private-Placements/Rule-506-Regulation-D-Filing-Instructions-in-Connecticut
  8. Deleware Form D Filing: http://regulations.delaware.gov/AdminCode/title6/Fraud/200/Securities.shtml 
  9. Florida Form D Filing: See https://www.flofr.com/sitePages/DivisionOfSecuritiesFAQ.htm
  10. Georgia Form D Filing: http://sos.ga.gov/index.php/securities/securities_forms
  11. Hawaii Form D Filing: http://cca.hawaii.gov/sec/registration_forms/
  12. Idaho Form D Filing: http://www.finance.idaho.gov/Securities/SecuritiesForms.aspx
  13. Illinois Form D Filing: http://www.cyberdriveillinois.com/departments/securities/regd.html
  14. Indiana Form D Filing: https://www.in.gov/sos/securities/2801.htm
  15. Iowa Form D Filing: https://iid.iowa.gov/registration-of-securities-and-exempt-offerings
  16. Kansas Form D Filing: https://www.ksc.ks.gov/index.aspx?NID=127
  17. Kentucky Form D Filing: http://kfi.ky.gov/industry/Pages/registrations.aspx
  18. Louisiana Form D Filing: http://www.ofi.state.la.us/Securities%20Reg%20Offering.htm
  19. Maine Form D Filing: https://www.maine.gov/pfr/securities/licensing/registration_exemption_filings.htm 
  20. Maryland Form D Filing: http://www.marylandattorneygeneral.gov/Pages/Securities/forms.aspx
  21. Massachusetts Form D Filing: https://www.sec.state.ma.us/sct/sctfin/finidx.htm
  22. Michigan Form D Filing: https://www.michigan.gov/lara/0,4601,7-154-89334_61343_32915-269360–,00.html
  23. Minnesota Form D Filing: https://mn.gov/commerce/industries/securities/
  24. Mississippi Form D Filing: http://www.sos.ms.gov/Securities/Pages/Rule-506.aspx
  25. Missouri Form D Filing: https://www.sos.mo.gov/securities/registration_faq
  26. Montana Form D Filing: https://csimt.gov/securities/laws/
  27. Nebraska Form D Filing: https://ndbf.nebraska.gov/industries/securities/filing-requirements-regulation-d-offerings
  28. Nevada Form D Filing: https://www.nvsos.gov/sos/investor-information/registration-of-securities/exemption-from-registration
  29. New Hampshire Form D Filing: http://sos.nh.gov/RegD506.aspx
  30. New Jersey Form D Filing: https://www.njconsumeraffairs.gov/bos/Pages/FAQindustry.aspx
  31. New Mexico Form D Filing: http://www.rld.state.nm.us/securities-division/rule-506.aspx
  32. New York Form 99 Filing: https://ag.ny.gov/sites/default/files/form99.pdf
  33. North Carolina Form D Filing: https://www.sosnc.gov/sec/forms 
  34. North Dakota Form D Filing: http://www.nd.gov/securities/securities-registration/federal-covered-securities 
  35. Ohio Form D Filing: https://www.com.ohio.gov/documents/SecuritiesStartup.pdf
  36. Oklahoma Form D Filing: http://www.securities.ok.gov/corp_fin/exemption.asp
  37. Oregon Form D Filing: https://secure.sos.state.or.us/oard/displayDivisionRules.action?selectedDivision=2123
  38. Pennsylvania Form D Filing: https://www.dobs.pa.gov/Businesses/Securities/Pages/Securities-Offerings.aspx
  39. Rhode Island Form D Filing: http://www.dbr.ri.gov/divisions/securities/securities.php
  40. South Carolina Form D Filing: http://www.scag.gov/scsecurities/registration
  41. South Dakota Form D Filing: https://dlr.sd.gov/securities/
  42. Tennessee Form D Filing: https://www.tn.gov/commerce/securities/industry-professionals/filing-instructions-and-forms.html
  43. Texas Form D Filing: https://www.ssb.texas.gov/securities-professionals/regulation-securities/filing-requirements-regulation-d-offerings-texas
  44. Utah Form D Filing: https://securities.utah.gov/industry/corpfin_rule506offerings.html
  45. Vermont Form D Filing: https://dfr.vermont.gov/securities/corporate-finance/corporate-finance-notice-filing
  46. Virginia Form D Filing: https://www.scc.virginia.gov/srf/faq/secreg.aspx
  47. Washington Form D Filing: https://dfi.wa.gov/securities-registration/faqs
  48. West Virginia Form D Filing: https://www.wvsao.gov/securities/
  49. Wisconsin Form D Filing: https://www.wdfi.org/fi/securities/regexemp/exemptions/23_19_506.htm
  50. Wyoming Form D Filing: http://soswy.state.wy.us/Investing/RegDFilings.aspx

 

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