Blue Sky Comply

Blue Sky Comply Logo
Menu
Schedule Demo
Blue Sky Comply Logo
Menu

Guide to Blue Sky Forms

Guide to Blue Sky Forms

This resource lists the key forms that show up in Blue Sky compliance for Reg D, Reg A, and Reg CF. It explains what each form is for, when it is used, and how it fits into a compliant capital raise. 

You will find concise explanations of the most common Blue Sky forms and notices, plus how they work in context. The goal is to make the process clear without sending you off to fill out PDFs on your own. There are no downloads on this page. Forms are listed for reference only and are completed through our platform to reduce errors and delays.

How to complete Blue Sky forms with Blue Sky Comply

Our blue sky compliance platform keeps things simple and accurate. You start by choosing your regulation and the states where you plan to offer or sell. From there, we surface the forms you actually need and guide you through completion and submission.
  • Select your regulation and states, then confirm issuer details, timing, and offering parameters.
  • Our system maps the correct forms and state requirements, then applies the right fees and delivery methods.
  • You review, sign as needed, and submit. Statuses, acknowledgments, and renewals are tracked for you.

Most Common Blue Sky Forms

Form D (SEC)

Form D is the SEC notice that tells regulators you are conducting an exempt offering under Regulation D. In most states, Form D is paired with state notice filings when you have sales or offers to residents of that state. Initial filing typically occurs within 15 days after the first sale, with amendments required for material changes or certain annual updates. If you are preparing a 506(b) or 506(c) raise, learn more about the federal framework behind Regulation D.
For state-level notice obligations tied to Form D, our team handles the routing and documentation for state Form D filings, including consent forms and fees where required.

Uniform Consent to Service of Process (Form U-2)

Form U-2 authorizes a state securities administrator to receive legal services on your behalf. Many states require a U-2 as part of a Reg D notice, a Reg A registration, or a general qualification file. Our system includes U-2 automatically when it is needed, then tracks it across all relevant states so you do not submit duplicates.

Corporate Resolution or Authorization (as applicable)

Some states ask for evidence that the issuer is authorized to conduct the offering and sign filings. This usually takes the form of a board resolution or officer authorization. We provide templates when required and store them with your other filing records.

Blue Sky Forms by Regulation​

Here is a simple view of how the forms typically line up. Exact requirements vary by state, which is why we route each step for you.
Regulation Typical Blue Sky actions Who reviews Common timing
Reg D SEC Form D, state notices, U-2, and other state-specific forms SEC for Form D, states for notices Most states require 15 days after the first sale
Reg A Tier 1 State registration documents vary by state States conduct a review based on disclosure and merit-based reviews Pre‑offer or pre‑sale, depending on the state
Reg A Tier 2 State notice and fees, U-2, and other state-specific forms SEC qualifies, states may receive notices Most states require 21 days' advanced notice
Reg CF State notice and fees SEC and FINRA oversight, states for any notices Varies by jurisdiction and fact pattern

FAQs

We intentionally do not provide blank forms. Each state may have a different version of forms to be completed, therefore its important to use our blue sky filing platform to complete the forms. Also, completing Blue Sky paperwork outside the system increases the chance of omissions, wrong fees, and missed dates. You complete everything through our platform, so filings are timely and accurate.

No—requirements vary by state. States do not require a Blue Sky filing unless there are sales to residents of that state, and not every state requires a filing even if there are sales. Our blue sky software/platform identifies the required states based on your specific offering details and facts and automatically calculates fees and required forms.

Every jurisdiction sets its own fee schedule, which can change. Our calculator keeps current amounts for each state and offering type, including detailed schedules for Reg D state fees, Reg CF state fees, and Reg A state fees.

When material items change, such as offering size or the status of the raise, an amendment is triggered. The platform prompts you and queues the correct federal and state updates so you do not miss anything.

Getting started

Create a new filing request, select the offering type, and complete our offering wizard, and we will prepare the appropriate forms, fees, and delivery methods. For multistate offerings, our team can coordinate filings and timelines, including Reg A state reviews and state notices tied to Form D. For additional context, see our overviews of Regulation D and Regulation CF.
Get Started on your first offering