Companies may use an exemption under Regulation D to offer and sell securities without having to register the offering with the SEC. When relying on such an exemption, companies must file what’s known as a “Form D” after they first sell their securities.
Form D is a brief notice that includes basic information about the company and the offering, such as the names and addresses of the company’s executive officers, the size of the offering and the date of first sale.
- Quickly create, manage, and transmit Form D directly to the SEC
- Enables multiple user collaboration, editing, and review within a single Form D filing
- Publish HTML or PDF proofs for review
- Use a Precedent Document as the starting point; only make necessary changes
- Auto-saves each section and document as you go
- Auto calculations for Item 13
- Generate a URL to share a Form for review
- FINRA broker data updated daily for automatic entry (Available in real time with FINRA GO monthly subscription)
- Populates your presets for easy dropdown selection
- Guides users step by step through composition, review, and filing with the SEC
- Calendar interface to schedule and view scheduled filings
- Dashboard: management, review, validation testing, and submission of multiple filings
- "Sort a Row" for easy related person hierarchy editing
Onboarding
Phase 1 – Initial kick-off call, live demo/training, Q&A, database preparation/requirements.
Phase 2 – EA team to populate database with reporting owners previous 12-month Form D filing history, from supplied CIK/Names List.
About EA
EA is a leading SEC filing agency and financial printer. We serve registered investment management companies as well as public and private companies, their in-house and outside counsel, corporate compliance teams, private equity, and investment banking partners.