To comply with Regulation D rules 504, 505 or 506 anyone conducting an offering via Reg D must register the offering with the SEC (Form D) and also within each State the offering will be sold within.
In addition to the filing requirements a Private Placement Memorandum (PPM) must contain specific Blue Sky or NASAA Jurisdictional Legends. Our PPM's come standard with all 50 NASAA Legends plus the District of Columbia. If you plan to sell your securities outside the United States you need to add a general Foreign Legend as well. Click here to purchase Legends.
To file your Regulation D Offering, at the State level, you will need to determine the appropriate Regulatory Authority. On the diagram below click the State[s] you need to file within.
*Our PPM Templates come standard with a U-1, U-2 and New York Form 99, which in most cases are sufficient for filing, but please double check your State as these laws can change quickly and without notice.