Securities Lawyer's Deskbook                          published by The University of Cincinnati College of Law

Regulation D -- Rules Governing the Limited Offer and Sale of Securities Without Registration Under the Securities Act of 1933

---

Preliminary Notes

Rule 501 -- Definitions and Terms Used in Regulation D

Rule 502 -- General Conditions to Be Met

Rule 503 -- Filing of Notice of Sales

Rule 504 -- Exemption for Limited Offers and Sales of Securities Not Exceeding $1,000,000

Rule 505 -- Exemption for Limited Offers and Sales of Securities Not Exceeding $5,000,000

Rule 506 -- Exemption for Limited Offers and Sales Without Regard to Dollar Amount of Offering

Rule 507 -- Disqualifying Provision Relating to Exemptions Under Rule 504, Rule 505 and Rule 506

Rule 508 -- Insignificant Deviations from a Term, Condition or Requirement of Regulation D

	Notice to Users: The Deskbook is made available with the understanding that the University of Cincinnati College of Law is not engaged in rendering legal, accounting or other professional services. If legal advice or other expert assistance is required, the services of a competent professional person should be sought. See Terms and Conditions of Use.   © Copyright 1998-2009, University of Cincinnati, All Rights Reserved  Contact: ronald.jones@uc.edu