Series 79: Non-Reporting Issuer

Taken from our Series 79 Top-off Online Guide

Non-Reporting Issuer

A company that is not required to file reports under the Exchange Act, such as a company involved in an IPO, is a non-reporting issuer. The SEC considers an issuer to be non-reporting even if it has voluntarily filed reports, as long as it was not required to do so.

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