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The S-3 form follows a simplified process. The S-1 form filing, on the other hand, is used as the initial registration for new securities issued by public companies in the United States. The filing must be completed before shares can be traded on a national exchange. Most companies file the S-1 form ahead of their IPO.

The U. S. Securities and Exchange Commission (SEC) has a three-part mission: Protect investors. Maintain fair, orderly, and efficient markets. Facilitate capital formation.

Common filing types The most commonly filed SEC forms are the 10-K and the 10-Q. These forms are composed of four main sections: The business section, the F-pages, the Risk Factors, and the MD&A. The business section provides an overview of the Company.

The best interest standard is an overarching obligation, which is satisfied only if you comply with four component obligations: Care, Disclosure, Conflict of Interest and Compliance.

Filings Related to Securities Registration There are two major types of registration statements: offerings registrations filed under the Securities Act of 1933, and trading registrations, filed under the Securities Exchange Act of 1934.

What's a Form 4? In most cases, when an insider executes a transaction, he or she must file a Form 4. With this form filing, the public is made aware of the insider's various transactions in company securities, including the amount purchased or sold and the price per share.

Key Takeaways. The Securities and Exchange Commission (SEC) is a U.S. government oversight agency responsible for regulating the securities markets and protecting investors.

Even if a company doesn't have to register its securities for an offering, it still may have to file reports with the SEC if the company lists its securities on an exchange or has more than $10 million in assets and a class of equity securities with either 2,000 or more record holders or 500 or more record holders that ...