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Crowdfunding Filings

In complaince with the updated Crowdfunding Regulations, issuers are now required to file several specific forms through the EDGAR system. 

Prior to submitting any EDGAR formatted documents, issuers must register using a Form ID application if required. For more information on filing a Form ID, view our page under the EDGAR filings tab. 

Issuers are required to regularly submit the following three forms to the SEC:

  • Form C: Primary offering statement, and must disclose the type of security offering amount, and general company information.
  • Form C-U: General progress update, and must be filed within five business days of the issuer reaching both 50% and 100% of the aggregate offering amount. This indicates the progress of the aggregate offering amount. However, issuers are exempt from this requirement if they provide regular public updates.
  • Form C-AR: Annual report, and must be filed within 120 days after the end of the company's fiscal year. This form must provide information about the issuer's financial conidtion, and information about the offering.

If a company wishes to terminate their annual reporting obligations, they must file Form C-TR. This notifies investors and the SEC that they wish to terminate the registration of their securities.

For more information about crowdfunding filings please contact us at 

Contact a sales representative to learn more about our Crowdfunding filings at 877-285-8605 or by clicking above.

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