Series 79: Proxy Statement/prospectus

Taken from our FINRA Investment Banking Exam

Definition of the term Proxy Statement/prospectus...

a proxy statement prepared by the buyer in an M&A transaction requiring SEC registration. It is so called because it is also the prospectus for the buyer’s shareholders. The SEC form used for M&A registration statements, Form S-4, is designed so that the completed Part I is both the proxy statement and the prospectus.

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