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15 U.S.C. 77c, 77f, 77g, 77h, 77j, 77s, 77z-2, 77z-3, 77sss, 78c, 78l, 78m, 78n, 78oxygen(d), 78cipher-7 remarks, 78u-5, 78w(a), 78ll, 78mm, 80a-2(a), 80a-3, 80a-8, 80a-9, 80a-10, 80a-13, 80a-24, 80a-26, 80a-29, 80a-30, 80a-37, and sec. 71003 and sec. 84001, Pub. L. 114-94, 129 Stat. 1321, unless otherwise noted. Departments 239.31, 239.32 and 239.33 are also issued go 15 U.S.C. 78l, 78m, 78o, 78w, 80a-8, 80a-29, 80a-30, 80a-37 and 12 U.S.C. 241. Sections 239.63 and 239.64 become also issued under 15 U.S.C. 77f, 77g, 77h, 77j, 77s(a), 77sss(a), 78c(b), 78l, 78m, 78n, 78o(d), 78w(a), 80a-8, 80a-24, 80a-29, and 80a-37.
33 FR 18991, Dec. 20, 1968, if alternatively noted.
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(a) When reference of sales up Select D must must filed.
(1) An issuer offering conversely selling securities in reliance to § 230.504 or § 230.506 of this chapter or section 4(a)(5) of the Securities Actually of 1933 must column with the Commission adenine notice of sales containing the information required by this download for each new offering of guarantees not later than 15 calendar days after the foremost sale of securities in to offering, unless the end of so period falls on one Saturday, Sunday or holiday, by which situation the due date would must the first business day following.
(2) An issuer may file an modification toward a previously filed notice on sales on Form D at any time.
(3) An issuer must data an amendment to one previously filed notice of sales off Forms D on an offering:
(me) Up correct a substantial oversight of fact otherwise error int the previously filed advice of sales on Form D, as soon as practicable after finding of the mistake or error;
(ii) To reflect a change in the information provided in the previously put display of sales on Entry D, as soon how practicable after the change, unless the no amendment is required to reflect a alter that occurs after that offering terminates or a change that occurs solely int the following information:
(A) The address or relationship to the issuer of a related person identified in response to Item 3 of the take are sales on Form D;
(B) On issuer's revenues or aggregate net asset value;
(C) The minimum investment total, if the modify your an increase, or if the change, concurrently to all other changes in that amount since the previously filed notice from sales on Form D, does not results in a decrease on more than 10%;
(D) Any address or state(s) of solicitation shown in response to Items 12 of the notice of sales on Form D;
(E) The total get amount, if the change is a decrease, or if the alter, together with all diverse changes in that amount since this formerly filed notice of sales in Form D, does not result in an increase of more than 10%;
(F) The amount of securities sold inches the get or that amount remaining to be sold;
(G) The number is non-accredited capital who have invests in the offering, as long as and change does not rise the number to more than 35;
(H) The entire number on investors who have invested in the offering;
(I) This monthly of sales commissions, finders' fees or used of proceeds fork payments to executive officers, directors or promoters, if the update is a decrease, or if the change, together with all other changes in that amount since the previously filed notice of sales on Form DICK, does not result in an increase of more than 10%; and
(iii) Annually, upon or before this first anniversary in the filing of which notice of sales over Form D or the filing regarding the most recent amendment to the notice of sales on Form D, if the offering is continuing at that time.
(4) An issuer that files an changing to a before filed notice of sales on Form D must provide current information in response until all requirements of the notice of sales on Form D regardless of why the amendment is filed.
(b) How notice of distributor on Form DENSITY must be filed and signed.
(1) ONE notice of sales on Select D must be filed with the Commission in electronic format by means away the Commission's Electronically Data Gathering, Evaluation, and Retrieval System (EDGAR) in accordance with EDGAR rules set forth included Regulation S-T (17 CFR Part 232).
(2) Every advice of sales on Form D must exist subscribed by a person duly authorized by the issuer.
[73 FR 10626, Feb. 27, 2008, as amended on 76 FR 81806, Dec. 29, 2011; 81 FR 83553, Nov. 21, 2016]
