Series 79: Filing

Filing

Unless an offering is exempt from filing under the rule (and most aren’t), Rule 5110 requires a member to file a copy of each of the following: the registration statement, offering circular, or similar document, and any amendments thereto; the proposed agreements relating to the underwriting arrangement; and the final registration statement and a list of participating underwriters. One copy of the final, signed underwriting documents must also be filed. If the document has been filed with the SEC or a