SIE: Pre-Filing Period

Taken from our SIE Online Guide

Pre-Filing Period

The registration process can be divided into three periods, the pre-filing period, the cooling-off period, and the post-effective period. The pre-filing period is the period before the issuer files the registration statement with the SEC. As noted earlier, during this period, the issuer prepares the registration statement, which provides essential facts, including:

• A description of the company’s properties and business
• A description of the security to be offered for sale

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Since you're reading about SIE: Pre-Filing Period, you might also be interested in:

Series 63 - Chapter Three

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