Form D and Blue Sky Filings

Learn about Blue Sky Filings, how to complete Form ID to obtain EDGAR codes, and how Savvi can assist you with Form D filings.

The purpose of Blue Sky filings is to protect investors against fraudulent sales practices and activities. In compliance with federal and state securities regulations, companies must register their offerings with a state before those offerings may be sold in that state in conjunction with submitting to Know Your Customer (KYC) and Anti-Money Laundering (AML) checks. However, many startups qualify for an exemption from registering their offerings, which may be obtained by filing Form D in compliance with Regulation D. Form D must be completed within 15 days of the first sale of securities in the offering. See the following chart for a list of Blue Sky filing fees by state:

To file Form D, a company must have access to EDGAR codes. EDGAR codes may be obtained by applying for them via completion of Form ID here. Form ID must be completed online, then printed and notarized by a public notary. Once completed and submitted, you will receive your EDGAR codes, which include a password and a Central Index Key (CIK).

Next, you will use your EDGAR codes to access and complete Form D electronically here

Note: the EDGAR websites are only available between 6:00 am and 10:00 pm ET, Monday through Friday, except on federal holidays. See the SEC website for more information about Form D filings here.

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