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Helpful Information

  • If your search is "John Smith" and you didn't get the results you expected, please try "Smith John."
  • The SEC does not require companies that are raising less than $1 million under Rule 504 of Regulation D to be "registered" with the SEC, but these companies are required to file a Form D with the SEC. The Form D serves as a brief notice that provides information about the company and the offering.