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  2. 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 ...

  3. SEC filing - Wikipedia

    en.wikipedia.org/wiki/SEC_filing

    A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S 1 S-3 Registration statement for specified transactions by certain issuers S-3/A Registration statement for specified transactions by certain issuers (Amendment) S-3ASR

  4. 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.

  5. Regulation S-K - Wikipedia

    en.wikipedia.org/wiki/Regulation_S-K

    Regulation S-K is a prescribed regulation under the US Securities Act of 1933 that lays out reporting requirements for various SEC filings used by public companies. Companies are also often called issuers (issuing or contemplating issuing shares), filers (entities that must file reports with the SEC) or registrants (entities that must register (usually shares) with the SEC).

  6. Regulation S-X - Wikipedia

    en.wikipedia.org/wiki/Regulation_S-X

    Regulation S-X and the Financial Reporting Releases (Staff Accounting Bulletins) set forth the form and content of and requirements for financial statements required to be filed as a part of (a) registration statements under the Securities Act of 1933 and (b) registration statements under section 12, [2] annual or other reports under sections 13 [3] and 15(d) [4] and proxy and information ...

  7. Form S-1 - Wikipedia

    en.wikipedia.org/wiki/Form_S-1

    Form S-1 is an SEC filing used by companies planning on going public to register their securities with the U.S. Securities and Exchange Commission (SEC) as the "registration statement by the Securities Act of 1933". The S-1 contains the basic business and financial information on an issuer with respect to a specific securities offering.

  8. Red herring prospectus - Wikipedia

    en.wikipedia.org/wiki/Red_herring_prospectus

    underwriter's commissions and discounts; promotion expenses; net proceeds to the issuing company (issuer); balance sheet; earnings statements for last 3 years, if available; names and address of all officers, directors, underwriters and stockholders owning 10% or more of the current outstanding stock; copy of the underwriting agreement;

  9. Form 4 - Wikipedia

    en.wikipedia.org/wiki/Form_4

    Form 4 is a United States SEC filing that relates to insider trading.Every director, officer and owner of more than 10 percent of a class of a particular company's equity securities registered under Section 12 of the Securities Exchange Act of 1934 must file with the United States Securities and Exchange Commission a statement of ownership regarding such security.

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