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 topic pages on ABS, on Research and on he FINRA Corporate Financing Rule / QIU Rule.

Steven Lofchie

Contributor Organization

Cadwalader, Wickersham & Taft LLP

Contributor Title

Partner

Maurine Bartlett

Contributor Organization

Cadwalader, Wickersham & Taft LLP

Contributor Title

Senior Counsel

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Statutes and SEC Rules & Forms

S ecurities Act | Rules | Related Rules & Regs
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

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Statutes and SEC Rules & Forms

SEA Section 11(d) and TIA

Securities Act Forms and Filings

Developments

Guidance

Issuer Disclosures

SEC Compliance Guides

Speeches, Studies and Comments

Distribution Agreements

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Excerpts From Guide to BD Regulation

Memos and Articles

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Broker-Dealer Manuals

Interactive Applications

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