Regulation D Exempt Offerings:
The Securities Act of 1933, as amended, is the federal law governing the issuance of securities in the United States. In general, the law requires each sale of a security to be registered with the SEC. However, the law allows the SEC to establish exemptions from registration when it determines that the public can be protected by compliance with the rules of the exemption, and without the rigorous procedure of a registration. A major exemption from registration is set forth in Regulation D issued by the SEC. Regulation D is composed of Rules 501-506. The Section references below refer to the Securities Act of 1933, as amended.
1 – Regulation D Exemptions
2 – General Provisions
3 – New Rule 155 Integration Safe Harbors – January 2001
4 – “General Solicitation” Defined
5 – Filing/Good Faith Compliance
6 – Rule 504 Parameters
7 – Rule 505 Parameters
8 – Accredited Investor Status
9 – Rule 506 Parameters
10 – Section 3(a)11 Intrastate Offering Exemption
11 – Section 4(2) Private Offering Exemption
12 – Section 4(6) Accredited Investor Exemption
13 – Regulation CE: California Limited Offering Exemption
14 – Regulation A Offerings