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SEC Form D Filing Requirements
You are required to file a Form D with the SEC if you are raising funds form investors via a Reg D offering.
Form D is a required SEC filing for privately held companies that raise capital. It is used to file a notice of exempt securities offering under SEC Reg D.
The Form D must be filed within 15 days of the first sale of securities.
Q: What is an exempt offering of securities?
A: Simply put, funds raised via private offerings. Under federal law, companies may not sell securities unless they have been registered with the SEC or an exemption is available.
To learn more about Reg D, see our page on Reg D.
Once you have your Reg D compliant Private Placement Memorandum completed, visit the SEC website to download and file your Form D.
State Form D Filings
Note: Each state has a corresponding filing and fee schedule for Form D submissions.
Fees: Each state has their own registration fees. This site has a list of all the state fees (to be sure, check with your specific state sites below). See individual state sites below for more information.
- Alabama Form D Filing: https://revenue.alabama.gov/forms/
- Alaska Form D Filing: https://www.commerce.alaska.gov/web/dbs/Securities/ExemptionsfromRegistration.aspx
- Arizona Form D Filing: https://www.azcc.gov/divisions/securities/licensing_and_registration/pdf/Regulation%20D%20-%20Q%20%20A.pdf
- Arkansas Form D Filing: http://www.securities.arkansas.gov/page/353/registration-exemption
- California Form D Filing: http://www.dbo.ca.gov/Licensees/Corporate_Securities_Law/faqs.asp#b20
- Colorado Form D Filing: https://www.colorado.gov/pacific/dora/registration-exemption-filings
- Connecticut Form D Filing: https://portal.ct.gov/DOB/Corporate-Finance/Private-Placements/Rule-506-Regulation-D-Filing-Instructions-in-Connecticut
- Deleware Form D Filing: http://regulations.delaware.gov/AdminCode/title6/Fraud/200/Securities.shtml
- Florida Form D Filing: See https://www.flofr.com/sitePages/DivisionOfSecuritiesFAQ.htm
- Georgia Form D Filing: http://sos.ga.gov/index.php/securities/securities_forms
- Hawaii Form D Filing: http://cca.hawaii.gov/sec/registration_forms/
- Idaho Form D Filing: http://www.finance.idaho.gov/Securities/SecuritiesForms.aspx
- Illinois Form D Filing: http://www.cyberdriveillinois.com/departments/securities/regd.html
- Indiana Form D Filing: https://www.in.gov/sos/securities/2801.htm
- Iowa Form D Filing: https://iid.iowa.gov/registration-of-securities-and-exempt-offerings
- Kansas Form D Filing: https://www.ksc.ks.gov/index.aspx?NID=127
- Kentucky Form D Filing: http://kfi.ky.gov/industry/Pages/registrations.aspx
- Louisiana Form D Filing: http://www.ofi.state.la.us/Securities%20Reg%20Offering.htm
- Maine Form D Filing: https://www.maine.gov/pfr/securities/licensing/registration_exemption_filings.htm
- Maryland Form D Filing: http://www.marylandattorneygeneral.gov/Pages/Securities/forms.aspx
- Massachusetts Form D Filing: https://www.sec.state.ma.us/sct/sctfin/finidx.htm
- Michigan Form D Filing: https://www.michigan.gov/lara/0,4601,7-154-89334_61343_32915-269360–,00.html
- Minnesota Form D Filing: https://mn.gov/commerce/industries/securities/
- Mississippi Form D Filing: http://www.sos.ms.gov/Securities/Pages/Rule-506.aspx
- Missouri Form D Filing: https://www.sos.mo.gov/securities/registration_faq
- Montana Form D Filing: https://csimt.gov/securities/laws/
- Nebraska Form D Filing: https://ndbf.nebraska.gov/industries/securities/filing-requirements-regulation-d-offerings
- Nevada Form D Filing: https://www.nvsos.gov/sos/investor-information/registration-of-securities/exemption-from-registration
- New Hampshire Form D Filing: http://sos.nh.gov/RegD506.aspx
- New Jersey Form D Filing: https://www.njconsumeraffairs.gov/bos/Pages/FAQindustry.aspx
- New Mexico Form D Filing: http://www.rld.state.nm.us/securities-division/rule-506.aspx
- New York Form 99 Filing: https://ag.ny.gov/sites/default/files/form99.pdf
- North Carolina Form D Filing: https://www.sosnc.gov/sec/forms
- North Dakota Form D Filing: http://www.nd.gov/securities/securities-registration/federal-covered-securities
- Ohio Form D Filing: https://www.com.ohio.gov/documents/SecuritiesStartup.pdf
- Oklahoma Form D Filing: http://www.securities.ok.gov/corp_fin/exemption.asp
- Oregon Form D Filing: https://secure.sos.state.or.us/oard/displayDivisionRules.action?selectedDivision=2123
- Pennsylvania Form D Filing: https://www.dobs.pa.gov/Businesses/Securities/Pages/Securities-Offerings.aspx
- Rhode Island Form D Filing: http://www.dbr.ri.gov/divisions/securities/securities.php
- South Carolina Form D Filing: http://www.scag.gov/scsecurities/registration
- South Dakota Form D Filing: https://dlr.sd.gov/securities/
- Tennessee Form D Filing: https://www.tn.gov/commerce/securities/industry-professionals/filing-instructions-and-forms.html
- Texas Form D Filing: https://www.ssb.texas.gov/securities-professionals/regulation-securities/filing-requirements-regulation-d-offerings-texas
- Utah Form D Filing: https://securities.utah.gov/industry/corpfin_rule506offerings.html
- Vermont Form D Filing: https://dfr.vermont.gov/securities/corporate-finance/corporate-finance-notice-filing
- Virginia Form D Filing: https://www.scc.virginia.gov/srf/faq/secreg.aspx
- Washington Form D Filing: https://dfi.wa.gov/securities-registration/faqs
- West Virginia Form D Filing: https://www.wvsao.gov/securities/
- Wisconsin Form D Filing: https://www.wdfi.org/fi/securities/regexemp/exemptions/23_19_506.htm
- Wyoming Form D Filing: http://soswy.state.wy.us/Investing/RegDFilings.aspx