Code of Federal Regulations

Title 17 - Commodity and Securities Exchanges
Volume: 2Date: 2006-04-01Original Date: 2006-04-01Title: Section 230.503 - Filing of notice of sales.Context: Title 17 - Commodity and Securities Exchanges. CHAPTER II - SECURITIES AND EXCHANGE COMMISSION. PART 230 - GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933. - Regulation D-Rules Governing the Limited Offer and Sale of Securities Without Registration Under the Securities Act of 1933.
§ 230.503 Filing of notice of sales. (a) An issuer offering or selling securities in reliance on § 230.504, § 230.505 or § 230.506 shall file with the Commission five copies of a notice on Form D (17 CFR 239.500) no later than 15 days after the first sale of securities. (b) One copy of every notice on Form D shall be manually signed by a person duly authorized by the issuer. (c) If sales are made under § 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 by the issuer under § 230.502(b)(2) to any purchaser that is not an accredited investor. (d) Amendments to notices filed under paragraph (a) of this section 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. [51 FR 36386, Oct. 10, 1986, as amended at 54 FR 11373, Mar. 20, 1989]