Regulation D Rules

Regulation D Rule 508

Section 230.508 – Insignificant deviations from a term, condition or requirement of Regulation D.

(a) A failure to comply with a term, condition or requirement of §230.504 or §230.506 will not result in the loss of the exemption from the...

Regulation D Rule 507

Section 230.507 – Disqualifying provision relating to exemptions under §§230.504 and 230.506.

(a) No exemption under §230.504 or §230.506 shall be available for an issuer if such issuer, any of its predecessors or affiliates have been subject to any...

Regulation D Rule 506

Section 230.506 – Exemption for limited offers and sales without regard to dollar amount of offering.

(a) Exemption. Offers and sales of securities by an issuer that satisfy the conditions in paragraph (b) or (c) of this section shall be deemed to...

Regulation D Rule 505

Regulation D Rule 505 is no longer an active rule.

Regulation D Rule 504

Section 230.504 – Exemption for limited offerings and sales of securities not exceeding $5,000,000.

(a) Exemption. Offers and sales of securities that satisfy the conditions in paragraph (b) of this §230.504 by an issuer that is not:

Regulation D Rule 503

Section 230.503 – Filing of notice of sales.

(a) When notice of sales on Form D is required and permitted to be filed.

Regulation D Rule 502

Section 230.502 – General conditions to be met.

The following conditions shall be applicable to offers and sales made under Regulation D (§230.500 et seq. of this chapter):

Regulation D Rule 501

Section 230.501 – Definitions and terms used in Regulation D.

As used in Regulation D (§230.500 et seq. of this chapter), the following terms shall have the meaning indicated:

Regulation D Rule 500

Section 230.500 – Use of Regulation D.

Users of Regulation D (§§230.500 et seq.) should note the following:

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