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Registration statement
(USA) The document required by the Securities Act of 1933 to be filed with the SEC by the issuer of securities before a public offering can be made. The most frequently used registration statement forms include the following: Form S-1 (The most complete version, required for initial public offerings); Form S-2 (Intermediate version, used for public companies already registered under the Securities Exchange Act of 1934 that are up to date with their filings and with payments to security holders); Form S-3 (Short version, used for public companies already registered under the Securities Exchange Act of 1934 that meet certain additional conditions); Form S-B2 (Similar to Form S-1, but somewhat abbreviated for small business issuers); Form U-7 (A form of registration at the state level for offerings by small businesses that are exempt at the federal level because they are below $1 million. Requires somewhat less disclosure); Form 20-F (This is an integrated form used both as a registration statement to register securities of qualified foreign private issues under Section 12 and as an annual report under Section 13(a) or 15(d) of the Securities Exchange Act of 1934).
- Part of Speech: noun
- Synonym(s):
- Blossary:
- Industry/Domain: Financial services
- Category: Private equity
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