[Code of Federal Regulations]
[Title 17, Volume 2]
[Revised as of April 1, 2001]
From the U.S. Government Printing Office via GPO Access
[CITE: 17CFR239.500]

[Page 661]
 
              TITLE 17--COMMODITY AND SECURITIES EXCHANGES
 
             CHAPTER II--SECURITIES AND EXCHANGE COMMISSION
 
PART 239--FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933--Table of Contents
 
                Subpart B--Forms Pertaining to Exemptions
 
Sec. 239.500  Form D, notice of sales of securities under Regulation D and section 4(6) of the Securities Act of 1933.

    (a) Five copies of a notice on this form shall be filed with the 
Commission no later than 15 days after the first sale of securities in 
an offering under Regulation D (Sec. 230.501--Sec. 230.508 of this 
chapter) or under section 4(6) of the Securities Act of 1933.
    (b) One copy of every notice on Form D shall be manually signed by a 
person duly authorized by the issuer.
    (c) When sales are made under Sec. 230.505, the notice shall contain 
an undertaking by the issuer to furnish to the Commission, upon the 
written request of its staff, the information furnished to non-
accredited investors.
    (d) Amendments to notices filed under paragraph (a) need only report 
the issuer's name and the information required by Part C and any 
material change in the facts from those set forth in Parts A and B.
    (e) A notice on Form D shall be considered filed with the Commission 
under paragraph (a) of this section:
    (1) As of the date on which it is received at the Commission's 
principal office in Washington DC; or
    (2) As of the date on which the notice is mailed by means of United 
States registered or certified mail to the Commission's principal office 
in Washington, DC, if the notice is delivered to such office after the 
date on which it is required to be filed.

[54 FR 11374, Mar. 20, 1989]

    Editorial Note: For Federal Register citations affecting Form D, see 
the List of CFR Sections Affected, which appears in the Finding Aids 
section of the printed volume and on GPO Access.