William Rosellini

State Filings (Blue Sky)

Regulation D State Filings

Within 15 days after receiving your first investment capital you will need to file a Reg D (“Form D”) notice with the SEC and the State of residence of the investor(s) who invested. Some states require pre-filing before approaching investors. This is typically a copy of your Form D, along with a U2 form. States usually charge a small fee. Most states have adopted the new Form D in place of the old U2 form. Some State Filings only require a U2 form. Others require a lot of form prep. This is often the most time consuming part of conducting a Reg D Offering.

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