Investment Banking Form D filings.
36 Form D notices were filed in the Investment Banking industry group in Q2 2026 and Q3 2026, 34 new and 2 amendments. 83.3% claimed Rule 506(b) and 16.7% Rule 506(c).
- Notices
- 36
- Amendments
- 2
- Rule 506(c)
- 16.7%
- Pooled funds
- 0.0%
- Amount sold, new notices
- $113.5M
- Latest filing
- 2026-09-30
Latest notices
| Filed | Issuer | Location | Type | Amount sold | Offering size | Exemptions |
|---|---|---|---|---|---|---|
| 2026-09-30 | GS Finance Corp. | New York | D | $1.3M | $1.3M | Rule 506(b) |
| 2026-09-30 | GS Finance Corp. | New York | D | $3.9M | $3.9M | Rule 506(b) |
| 2026-09-28 | GS Finance Corp. | New York | D | $2.8M | $2.8M | Rule 506(b) |
| 2026-09-18 | GS Finance Corp. | New York | D | $1.1M | $1.1M | Rule 506(b) |
| 2026-09-15 | Forests VC LLC | Delaware | D | $0 | $6.0M | Rule 506(b) |
| 2026-09-11 | GS Finance Corp. | New York | D | $8.7M | $8.7M | Rule 506(b) |
| 2026-09-04 | GS Finance Corp. | New York | D | $2.0M | $2.0M | Rule 506(b) |
| 2026-09-04 | GS Finance Corp. | New York | D | $17.1M | $17.1M | Rule 506(b) |
| 2026-09-04 | GS Finance Corp. | New York | D | $14.4M | $14.4M | Rule 506(b) |
| 2026-09-01 | AmTru AI Inference Ventures II, LLC | California | D | $3.8M | $3.8M | Rule 506(c) |
| 2026-09-01 | Leerink Aggregator LP | Massachusetts | D | $197K | $197K | Rule 506(b) |
| 2026-08-19 | GS Finance Corp. | New York | D | $300K | $300K | Rule 506(b) |
| 2026-08-14 | GS Finance Corp. | New York | D | $1.0M | $1.0M | Rule 506(b) |
| 2026-07-29 | GS Finance Corp. | New York | D | $249K | $249K | Rule 506(b) |
| 2026-07-29 | GS Finance Corp. | New York | D | $249K | $249K | Rule 506(b) |
| 2026-07-29 | GS Finance Corp. | New York | D | $332K | $332K | Rule 506(b) |
| 2026-07-20 | MHR Acquisitions, Inc. | New York | D | $0 | $3.5M | Rule 506(c) |
| 2026-07-10 | Vontobel Holding Ltd. | Switzerland | D | $994K | $994K | Rule 506(b) |
| 2026-07-09 | Daiwa Securities Group Inc. | Japan | D/A | $600K | Indefinite | Rule 506(b) |
| 2026-07-07 | Bright Capital Group, LLC | Alabama | D | $0 | Indefinite | Rule 506(b), Investment Company Act 3(c), 3C.5 |
| 2026-06-29 | LIMEN MARKETS SERIES 2026-A LLC | Wyoming | D | $0 | Indefinite | Rule 506(c) |
| 2026-05-15 | GS Finance Corp. | New York | D | $399K | $399K | Rule 506(b) |
| 2026-05-11 | Fourcore Capital Inc. | Georgia | D | $100K | $15.0M | Rule 506(c) |
| 2026-05-08 | GS Finance Corp. | New York | D | $247K | $247K | Rule 506(b) |
| 2026-05-05 | GS Finance Corp. | New York | D | $184K | $184K | Rule 506(b) |
| 2026-05-05 | GS Finance Corp. | New York | D | $323K | $323K | Rule 506(b) |
| 2026-05-05 | GS Finance Corp. | New York | D | $184K | $184K | Rule 506(b) |
| 2026-04-23 | GS Finance Corp. | New York | D | $1.2M | $1.2M | Rule 506(b) |
| 2026-04-16 | GS Finance Corp. | New York | D | $784K | $784K | Rule 506(b) |
| 2026-04-16 | GS Finance Corp. | New York | D | $130K | $130K | Rule 506(b) |
Median minimum investment accepted, among the 28 notices above that report one: $1,000.
Query these notices
The Form D offerings endpoint returns every notice for a quarter with all issuer identities and source strings. Filter by issuer CIK, or page through a quarter and group by industry or location yourself.
curl "https://sec-api.dev/api/v1/offerings?period=2026q3&limit=25" \
-H "Authorization: Bearer $SEC_API_KEY"Questions
How many Form D filings were in Investment Banking?
36 Form D notices were filed in the Investment Banking industry group in Q2 2026 and Q3 2026, 34 new and 2 amendments. 83.3% claimed Rule 506(b) and 16.7% Rule 506(c).
Does amount sold equal money raised this quarter?
No. The total amount sold on a notice is cumulative for the offering. Use new notices, or the latest amendment per offering, to avoid double counting.
Other industries
Plain-text version for agents and LLMs: /form-d/industries/investment-banking.md
Independent. Not affiliated with, endorsed by, or sponsored by the U.S. Securities and Exchange Commission. Data is reproduced from public SEC filings and datasets. Not investment advice.