Securities and Exchange Commission (SEC), Form D Filing, Investors

EDGAR Next is Live - What Canadian Issuers Need to Know

Dorsey & Whitney LLP on 4/1/2025

The SEC has updated the EDGAR system’s login, password, and access protocols which will affect Canadian SEC reporting companies and other individuals and entities with EDGAR filing codes, including non-reporting companies...more

The Importance of Timely Filing a Form D

Winstead PC on 1/22/2025

On December 20, 2024, the U.S. Securities and Exchange Commission (the “SEC”) announced charges against two private companies and one registered investment adviser (the “Parties”). These charges asserted that the Parties...more

Checklist for Non-U.S. Fund Managers Making a Private Fund Offering in the U.S.

King & Spalding on 7/6/2022

The United States represents a large source of potential capitalthat non-U.S. fund managers often find impossible to ignore. To assist non-U.S. fund managers, we have prepared a checklist that sets out key considerations for...more

SEC Attempts to Halt Telegram’s Planned Token Distribution

Proskauer - Blockchain and the Law on 11/1/2019

On October 11, 2019, the SEC filed an emergency action to stop Telegram (Telegram Group Inc. and its wholly owned subsidiary TON Issuer Inc.) from continuing its offering of tokens. Telegram raised approximately $1.7 billion...more

SEC Issues Proposed Rules Intended to Protect Investors and Gather Additional Information in Connection With Permitting General...

Clark Hill PLC on 10/14/2013

On July 10, 2013, the Securities and Exchange Commission ("SEC") issued proposed rules regarding amendments to Regulation D, Form D and Rule 156 of the Securities Act. The SEC has requested comments on the proposed rules....more

Private Offerings: Questions that Might Frequently be Asked Sometime Soon (Part II)

Morrison & Foerster LLP on 10/3/2013

Shortly after the Securities and Exchange Commission (SEC) adopted the final rule relaxing the prohibition against general solicitation in connection with offerings made pursuant to new Rule 506(c) and Rule 144A, we provided...more

Concurrent EB-5 Offerings In The United States And Abroad

Carlton Fields on 10/2/2013

Until recently, U.S. offerors and others had to make offerings of EB-5 project investments solely offshore in order to benefit from Regulation S, an exclusion from registration requirements. The offerors had to exclude...more

Securities and Exchange Commission (SEC) › Form D Filing › Investors