SEC Form D definition

SEC Form D means the document, as adopted by the United States Securities and Exchange Commission and in effect on September 1, 1996, as may be amended by the SEC from time to time, entitled "Form D; Notice of Sale of Securities pursuant to Regulation D, Section 4(6), and/or Uniform Limited Offering Exemption", including Part E and the Appendix.
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SEC Form D means “ Form D; Notice of Sale of Securi-
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SEC Form D means “ Form D; Notice of Sale of Securities Pursuant to Regulation D, Section 4(6), and/or Uniform Limited Offer- ing Exemption” including Part E and the Appendix as adopted by the SEC.
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Examples of SEC Form D in a sentence

  • If securities are privately offered, the Issuer has filed SEC Form D with state and/or federal regulatory agencies as required.

  • The Company shall be solely responsible for compliance with SEC Form D filing requirements.

  • The Consultant shall assist the Client in preparing Client's S.E.C. Form D, NASD Bulletin Board application under Rule 15C2-11 and Form 211, and N.Y. State Forms M-11 and U-2.

  • No consent, approval, order or authorization of, or registration, qualification, designation, declaration or filing with, and federal, state or local governmental authority on the part of the Company is required in connection with the consummation of the transactions contemplated by this Agreement, except for the filing pursuant to SEC Form D, which filing will be effected within 15 days of the sale of the Warrants hereunder.

  • Purchaser(s) acknowledge that Issuer may take steps to comply with Regulation D and Rule 506, including without limitation the filing of SEC Form D, and to comply with applicable state Blue Sky laws and regulations, including without limitation the filing of any applications, registrations, forms or notices as may be required under applicable laws or regulations.

  • The Company is required to file a Form 25102(f) or an SEC Form D with the California Commissioner of Corporations following the Closing Date.

  • No consent, approval, order or authorization of, or registration, qualification, designation, declaration or filing with, and federal, state or local governmental authority on the part of Client is required in connection with the consummation of the transactions contemplated by this Agreement, except for the filing pursuant to SEC Form D, which filing will be effected within 15 days following the date hereof.

  • No authorization, approval or consent of, or designation, declaration or filing with, any governmental body on the part of Subscriber or the Company is legally required for the issuance and sale of the Securities, with the exception of SEC Form D and any New York or other state blue sky filing by the Company or any placement agent.

  • Assuming the accuracy of the representations and warranties of Buyer contained in this Agreement, no approval or consent of any United States federal or state governmental authority, or the OTCBB, is necessary for the execution, delivery of and performance of this Agreement by the Company, other than the requirement that the Company file a Notice on SEC Form D within fifteen days after the date of this Agreement.

  • Purchaser acknowledges that the Issuer may take steps to comply with Regulation D and Rule 506, including without limitation the filing of SEC Form D, and to comply with applicable state Blue Sky laws and regulations, including without limitation the filing of any applications, registrations, forms or notices as may be required under applicable laws or regulations.


More Definitions of SEC Form D

SEC Form D means “ Form D; Notice of Sale of Securi- ties Pursuant to Regulation D, Section 4(6), and/or Uniform Limited Offering Exemption” including Part E and the Appendix as adopted by the SEC.
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