1934 Act Registration Statements

All companies whose securities are registered on a national securities exchange, and, in general, other companies whose total assets exceed $10,000,000 ($10 million) with a class of equity securities held by 500 or more persons, must register such securities under the 1934 Act. (See Section 12 of the '34 Act for further information.)

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. To determine whether a Form D has been filed or to obtain a copy, call the SEC's Public Reference Branch at (202) 942-8090 or contact them via e-mail at publicinfo@sec.gov.