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  2. Registration statement - Wikipedia

    en.wikipedia.org/wiki/Registration_statement

    In the United States, a registration statement is a set of documents, including a prospectus, which a company must file with the U.S. Securities and Exchange Commission before it proceeds with a public offering. [1] [2] As of May 2022, the United States Supreme Court was considering the case of Slack Technologies, LLC v.

  3. Stock certificate - Wikipedia

    en.wikipedia.org/wiki/Stock_certificate

    Certificate for a share in Kennet and Avon Canal Navigation, Great Britain, 1808. In corporate law, a stock certificate (also known as certificate of stock or share certificate) is a legal document that certifies the legal interest (a bundle of several legal rights) of ownership of a specific number of shares (or, under Article 8 of the Uniform Commercial Code in the United States, a ...

  4. Form S-3 - Wikipedia

    en.wikipedia.org/wiki/Form_S-3

    Form S-3 is the most simplified securities registration form used by the U.S. Securities and Exchange Commission.It may only be used by companies that have been required to report under the Securities Exchange Act of 1934 for a minimum of twelve months and have also timely filed all required reports (including annual forms 10-K, quarterly forms 10-Q and certain current forms 8-K) under the ...

  5. List of official business registers - Wikipedia

    en.wikipedia.org/wiki/List_of_official_business...

    Registries of vessels (registration is permitted in only single of the five registries at a time, depending on the vessel's size, designation, equipment, usage, and ownership; some of the vessels may require an additional registration: by a ship classification society, or for the purposes of obtaining the ENI number, the IMO number, or the MMSI ...

  6. United States securities regulation - Wikipedia

    en.wikipedia.org/wiki/United_States_Securities...

    The Securities Act of 1933 regulates the distribution of securities to public investors by creating registration and liability provisions to protect investors. With only a few exemptions, every security offering is required to be registered with the SEC by filing a registration statement that includes issuer history, business competition and material risks, litigation information, previous ...

  7. ‘Make an example’: SEC weighs options in latest ... - AOL

    www.aol.com/news/example-sec-weighs-options...

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  8. SEC filing - Wikipedia

    en.wikipedia.org/wiki/SEC_filing

    Registration of a class of securities of certain Canadian issuers (Amendment) 40FR12G Registration of a class of securities of certain Canadian issuers pursuant to Section 12(g) of the 1934 Act 40FR12G/A Registration of a class of securities of certain Canadian issuers pursuant to Section 12(g) of the 1934 Act (Amendment) 424A Prospectus 424B1

  9. Street name securities - Wikipedia

    en.wikipedia.org/wiki/Street_name_securities

    There are three principal ways of holding securities: Stock certificate Before the use of electronic technology, all shares were held in certificated form, either . as registered shares, where the company maintained a register of owners of shares as well as issuing share certificates, and changes of ownership were registered, or