Series 24: 4.1.5.3.1. Registration Statement Information Requirements

Taken from our Series 24 Online Guide

4.1.5.3.1. Registration Statement Information Requirements

Section 7 of the Securities Act requires that a registration statement include information that can be grouped into the following categories:

General information about the issuer

Name, state, or other jurisdiction of incorporation or organization, and location of main office

Names and addresses of directors and the company’s chief executive, financial, and accounting officers

Compensation of directors and officers

Description of the company’s business

Information about the issuer’s stock

Names and addresses of shareholders who own more than 10% of any class of stock or of the aggregate outstanding stock

Amount of securities held by shareholders who hold at least 10% of company securities, including directors, officers, and the underwriter

Issuer’s capitalization

Securities covered by options outstanding or to be created

Information about the issuer’s finances

Current balance sheet

Profit and loss statement

Any other offerings by the issuer within the preceding two years

Information about the offering

Specific purposes of the offering

Proposed offering price

Amount of stock of each class to be offered

Amount of expenses, commissions, discounts, and other amounts to be paid with respect to the offering

Estimated net proceeds

Proposed use of the proceeds to purchase any business or property

Names and addresses of the underwriters and the legal counsel that reviewed the legality of the issue

Amount of funded debt outstanding and to be created

Copies of relevant documents

Underwriter agreements

Legal opinions of counsel on the issue’s legality

Material contracts not made in the ordinary cours

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