Form 1-E-Notification Under Regulation E; Rule 604-Filing or Notification on Form 1-E; Rule 605-Filing and Use of the Offering Circular
OMB 3235-0232
OMB 3235-0232
Regulation E is a series of rules that provides specific exemptions from the registration provisions of the Securities Act for SBICs and investment companies that elect to be treated as business development companies ("BDCs"). Companies wishing to obtain the exemption must notify the Commission of their interest in claiming the exemption by filing a notification on Form 1-E.
The latest form for Form 1-E-Notification Under Regulation E; Rule 604-Filing or Notification on Form 1-E; Rule 605-Filing and Use of the Offering Circular expires 2022-02-28 and can be found here.
SEC filings made via the EDGAR database are searchable on SEC.report, along with a feed of the latest filings for OMB 3235-0232: Form 1-E filings 
.
Latest Forms, Documents, and Supporting Material
Document Name |
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Form and Instruction |
Supplementary Document |
Supplementary Document |
Supporting Statement A |
Form SEC 1807 (8-01) Form 1-E-Notification Under Regulation E; Rule 604-Filing or Notification on Form 1-E; Rule 605-Filing and Use of the Offering Circular
3235-0232 2021-25913.pdf
Form 1-E-Notification Under Regulation E; Rule 604-Filing or Notification on Form 1-E; Rule 605-Filing and Use of the Offering Circular All Historical Document Collections
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