compliance

What is Form D?
Form D is a Securities and Exchange Commission form filed by public and private companies making unregistered offers in accordance with Regulation D or section 4(6) of the Securities Act of 1933. Offers to sell securities in the United States must be registered with the SEC or qualify for an exemption from registration. Regulation D and Securities Act section 4(6) contain exemptions from the registration requirement. Filing the Form D is a company’s official notice that an offering of securities will be made in reliance on one of these exemptions. The form calls for basic identifying information about the company and essential information about the offering itself. It must be filed within 15 calendar days after the first sale in the offering occurs. If the filing deadline falls on a weekend or holiday, the due date is the next business day.

As of March 2009, a company must file the Form D electronically through an online filing system and the information is publicly available on the SEC’s website. The SEC does not charge a fee to file Form D. Most states also require the filing of a Form D and many charge a filing fee. Information on state requirements is available from the North American Securities Administrators Association at www.nasaa.org. Access the information via the state regulator websites listed there.

Ready to get started?

Bowne offers a simple, secure and rapid solution to filing your Form D:
  • Download and complete the EXCEL version of the Form D
  • Email the Form D or your Word® or Excel® document to pure.compliance@bowne.com including your contact details, company codes and filing date.
  • We will email a SEC-ready proof to you for review
  • We’ll make any edits you have and, on your approval, file live with the SEC

New to EDGAR Filing

If you have previously filed Form D's or other forms in paper, you have already been assigned a CIK but must apply to obtain EDGAR access codes.

  • You can locate your CIK by searching for your company on the EDGAR Company Search page.
  • To apply for EDGAR access codes, go to the Filer Management and provide your CIK to obtain a passphrase. Select the option to 'Convert Paper Only Filer to Electronic Filer'.

If you have never filed a form D or any other electronic filing with the SEC, you must apply for codes.

  • To apply for codes, go to the Filer Management page.
  • Select the option to "Apply for EDGAR Access (New)" and enter the requested information to submit your Form ID request.
  • At the point you are asked to create a Passphrase, be sure you write it down.
  • Once you have submitted the electronic application, you must create and fax the SEC a notarized "authenticating document" that consists of the same information you placed on the electronic Form ID.
  • Fax the completed form to the SEC at 202-504-2474 or 703-914-4240.
  • The SEC will send you an e-mail that your application has been approved.
  • Once you have this approval notice, return to SEC Web site and proceed to the “Generate Access Codes (New or Replacement)” section of the Web site.


Additional Resources:

For more information, review the SEC final rule - Electronic Filing and Revision of Form D. (PDF)

To stay on top of regulatory changes sign up for the Bowne SEC & EDGAR Monitor.