Series 7: 12.2.1.1. Pre-Filing Period

Taken from our Series 7 Online Guide

12.2.1.1. Pre-Filing Period

The registration process can be divided into three periods. The pre-filing period is the period before the issuer files the registration statement with the SEC. During this period, the issuer is preparing 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

• Information about the management of the company

• Financial stat

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