How to Choose the Right PPM Template: Regulation D Overview

Basic Share Structuring

To start a Regulation D private securities sale you will need to start by developing an investment structure. The basic share structure should detail what the investors will get in return for their investment.

Facebook’s Use of Regulation D

Facebook’s use of Regulation D was vital to their success. If you’re like us you’re probably wondering how Facebook got started. Well, according to the SEC’s archives, they had very humble beginnings, just like every other startup. Facebook,...

Capital Raising in the U.S - Analyzing Offerings Using Reg D Exemption

Division of Economic and Risk Analysis (DERA) U.S. Securities and Exchange Commission

Types of Reg D Securities Sales

The two general types of Reg D securities sales are: (1) Equity, and (2) Debt. These can also be combined into a Convertible hybrid of the two (see #3 below).

  1.  An ‘equity‘ offering is where the company sells partial (or a majority) ownership in the...

Regulation D

Regulation D Private Securities Offerings

Under the federal securities laws, any offer or sale of a security must either be registered with the SEC or meet an exemption. Regulation D under the Securities Act provides a number of exemptions from the...

Reg D Basics

“Regulation D” (or Reg D) is a United States Federal program created under the Securities Act of 1933, indoctrinated in 1982, that allows companies the ability to raise capital through the sale of equity or debt securities (private or public stock...

Private Securities Sales

The two general types of Regulation D capital raises: (1) Equity, and (2) Debt. These can also be combined into a Convertible hybrid of the two (see #3 below).

1. An ‘equity’ offering is where the company sells partial (or a majority) ownership in...

Regulation D Forms & Filings

To start a Reg D Private Stock Sale (or a Note Offering) one needs to map-out a ‘Return On Investment’ scenario (“ROI”) for potential investors, i.e., what they’re going to get in return for investing. Once that’s complete it’s time to draft the...

EDGAR Filing System

Companies that sell private or public securities to raise capital must file the appropriate documents with the SEC through their EDGAR system. To get started issuers will need to first register with the system. This requires a notarized ‘Form ID,’...

List of State Securities Regulators

State securities regulators have individual websites with important information. Click the state to visit the website of each agency.

United States

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Overview

Regulation D Rules