Not every entrepreneur realizes this, but even if you do a completely private and exempt offering in the U.S., a filing with the Securities and Exchange Commission is required. In fact, these filings ...

Canadian companies that sell securities to U.S. investors under Regulation D must file a Form D with the SEC within 15 days after “the date of first sale.” Most people would assume that the closing of ...

Securities issuers and their counsel have historically relied on the fact that the SEC has not pursued enforcement actions against issuers that have not filed, or been delayed in filing, a Form D in ...