Regulation D - Form D Filing Requirement

What is the primary purpose of filing Form D with the SEC?

• To report annual earnings

• To register a new company

• To apply for a business loan

• To notify about an issuance under an exemption

What happens if you fail to file Form D according to the rules?

• You will be banned from issuing securities

• It can affect your ability to use future exemptions

• You may face penalties from the SEC

• You automatically lose the exemption

Why is it important to comply with the Form D filing requirements?

• To increase stock prices

• To ensure the exemption remains valid

• To avoid legal action from investors

• To prevent future tax audits

Within how many days should Form D be filed after an issuance?

• 10 days

• 15 days

• 30 days

• 45 days

What could be a potential risk of not filing Form D on time?

• Increased filing fees

• Immediate suspension of business operations

• Loss of future exemption opportunities

• Mandatory company audit