Contact Us

If you still have questions or prefer to get help directly from an agent, please submit a request.
We’ll get back to you as soon as possible.

Please fill out the contact form below and we will reply as soon as possible.

  • Courses
  • Find a Job
  • Home
  • Law, Transactions, & Risk Management
  • Business Transactions, Antitrust, & Securities Law

Rules Governing Disclosure during Registration Process - Explained

Regulation S-K

Written by Jason Gordon

Updated at September 25th, 2021

Contact Us

If you still have questions or prefer to get help directly from an agent, please submit a request.
We’ll get back to you as soon as possible.

Please fill out the contact form below and we will reply as soon as possible.

  • Marketing, Advertising, Sales & PR
    Principles of Marketing Sales Advertising Public Relations SEO, Social Media, Direct Marketing
  • Accounting, Taxation, and Reporting
    Managerial & Financial Accounting & Reporting Business Taxation
  • Professionalism & Career Development
  • Law, Transactions, & Risk Management
    Government, Legal System, Administrative Law, & Constitutional Law Legal Disputes - Civil & Criminal Law Agency Law HR, Employment, Labor, & Discrimination Business Entities, Corporate Governance & Ownership Business Transactions, Antitrust, & Securities Law Real Estate, Personal, & Intellectual Property Commercial Law: Contract, Payments, Security Interests, & Bankruptcy Consumer Protection Insurance & Risk Management Immigration Law Environmental Protection Law Inheritance, Estates, and Trusts
  • Business Management & Operations
    Operations, Project, & Supply Chain Management Strategy, Entrepreneurship, & Innovation Business Ethics & Social Responsibility Global Business, International Law & Relations Business Communications & Negotiation Management, Leadership, & Organizational Behavior
  • Economics, Finance, & Analytics
    Economic Analysis & Monetary Policy Research, Quantitative Analysis, & Decision Science Investments, Trading, and Financial Markets Banking, Lending, and Credit Industry Business Finance, Personal Finance, and Valuation Principles
  • Courses
+ More

Table of Contents

What laws govern the mechanics of disclosure of information in a securities offering?Academic Research

What laws govern the mechanics of disclosure of information in a securities offering?

Regulation S-K is an SEC promulgated regulation that applies to new issuances under the 33 Act and subsequent sale or transfer of securities under the 34 Act. This regulates the specific types of information that an issuer must disclose to the public. The primary disclosure statement in an IPO is the registration statement (Forms S-1 and S-3 for Securities Act (33 Act)). Publicly-traded companies are subject to Schedule 14A (requiring disclosure of proxy statements). Public companies are also subject to continued reporting by filing form 10-K, 10-Q, 8-K for 34 Act.

Note: The disclosure requirements are often extensive and difficult for companies to manage.

Next Article: Exemptions from '33 Act Registration Back to: SECURITIES LAW

Related Topics

  • Securities Act of 1933
  • What is an Offer to Sell securities?
  • Who are the parties regulated in an offer to sell securities?
  • What are the primary disclosure documents required in an offer to sell securities?
  • Red Herring Prospectus (Securities) Definition
  • Registration of Securities
  • What is an issuer allowed to do at each stage of the registration process?
  • How are issuers classified for purposes of the registration and offering process?
  • What is an issuer allowed to do during the Pre-filing Period?
  • What are the limitations on the issuer during the Post-filing, Waiting Period?
  • What is an issuer allowed to do during the Post-Effective Period?
  • What is an Emerging-Growth Company?
  • What type of information must an issuer disclose?
  • What laws govern the mechanics of disclosure in a securities offering?
  • Deficiency Letter (Securities Law)

Academic Research



disclosure registration process

Was this article helpful?

Yes
No

Related Articles

  • Private Investment Company - Explained
  • Regulation D - Form D Filing Requirement
  • Schedule K-1 - Explained
  • Share Repurchase Agreement - Explained



©2011-2023. The Business Professor, LLC.
  • Privacy

  • Questions

Definition by Author

0
0
Expand