Public Offerings of Securities

Overview

This page provides information relating to the regulation of public offerings, including as to the conduct of both issuers and broker-dealers participating in securities offerings. For information relating to certain specific offering-related issues, see also the Focus Pages on ABS, on Research and on he FINRA Corporate Financing Rule / QIU Rule.

Ashar Qureshi

Contributor Organization

Fried, Frank, Harris, Shriver & Jacobson LLP

Contributor Title

Partner

Joshua Wechsler

Contributor Organization

Fried, Frank, Harris, Shriver & Jacobson LLP

Contributor Title

Partner - Corporate

Find

Find:

Statutes and SEC Rules Forms

S ecurities Act | Rules
SA Section 2 (Definitions)
SA Section 5 (Prospectus delivery)
SA Section 6 (Registration of securities)
SA Section 7 (Information in a registration statement)
SA Section 8 (Going effective)
SA Section 10 (Information in a prospectus)
SA Section 11 (Liability for registration statement) | Rule 176
SA Section 12 (Liability for prospectus)
SA Section 18 (Exemption from state regulation) | Rule 146
SA Section 27A (Forward looking statements)
SA Schedule A (Information in registration statement)
SA General Rules (100-215), including
- Research Rules: Rules 137, 138, 139
- Prospectus Delivery: Rules 153, 153a, 153b, 154, 172, 174
SA Reg C (Rule 400-498) (Registration)

SEA Section 11(d) and TIA

SEA Section 11(d) (Distribution credit)
Trust Inden ture Act | Rules

Securities Act Forms and Filings

Securities Act Forms | All SEC Forms
Regulation S-K (Issuer disclosure requirements)
Regulation S-X (Financial reports)
SEA Rule 0-3 (Filing with the SEC)
Requirements for Exhibit Links and HTML Format
- EDGAR Filer Information
- Federal Holidays

Overview

Find

Statutes and SEC Rules Forms

SEA Section 11(d) and TIA

Securities Act Forms and Filings

Developments

Regulatory Assistance

Issuer Disclosures

SEC Compliance Guides

Speeches, Studies and Comments

Distribution Agreements

Know

Excerpts From Guide to BD Regulation

Memos and Articles

Do

Broker-Dealer Manuals

Expert Systems

User menu