Katelynn's Report

Katelynn's Report

(US Market)


Font Size:

Form 1-E

What is it: Form 1-E is filed by small business investment company and business development company to claim Regulation E exemption. Regulation E allows the exemption of securities issued by small business companies from registration, so long as the aggregate offering price of all securities of a issuer does not exceed $5,000,000 within a 12-month period. Form 1-E requires information including management team of the issuer; events making the exemption unavailable; jurisdictions in which securities are to be offered; unregistered securities issued or sold within one year, etc.

Filing Time:

Related Form(s):
Form 2-E: Small business company with Regulation E exemption is required to file Form 2-E semi-annually to disclose offering status.
Form D

Tips: Less than 10 Form 1-E are filed each year (2008~2014 statistics).