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Regulation A - Ongoing Reports You Must File

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http://www.TheSecuritiesAttorneys.com Reg A – Ongoing Reports You Must File
Tier 2 issuers must file an annual report with the SEC on Form 1-K: Annual Report. Tier 2 issuers must file a semiannual report with the SEC Form 1-SA: Semiannual Report. Tier 2 issuers must promptly file current reports on Form 1-U with the SEC. This is for certain corporate events, much the same way as reporting issuers file current reports on Form 8-K. All Reg A issuers must file a notice under cover of Form 1-Z: Exit Report.
Issuers conducting Tier 1 offerings will be required to file Part I of Form 1-Z. Tier 2 offerings must also disclose the same information as issuers conducting Tier 1 offerings in Part I of Form 1-Z, unless previously reported by the issuer on Form 1-K. Issuers conducting Tier 2 offerings will also be required to complete Part II of Form 1-Z in order to notify investors and the Commission that it will no longer file and provide annual reports pursuant to the requirements of Regulation A.

A Tier 2 issuer's obligations to file ongoing reports could be terminated at any time after completion of reporting for the fiscal year in which the offering statement was qualified,
if the securities of each class to which the offering statement relates are held of record by fewer than 300 persons and offers and sales are not ongoing.

Tier 2 issuers in that list securities offered under Reg A on a national securities exchange or that register the Reg A securities under the Exchange Act can file Form 8-A (short form) registration statement with the SEC

New filers need to file a Form ID with the SEC to get access codes to permit filing on EDGAR

www.TheSecuritiesAttorneys.com Want to know more? – email me at John.Lux@ Securities-Law.info (240) 200-4529 John E. Lux was in the top 5% of authors on Slideshare in 2014 and has been quoted by Bloomberg as an expert on reverse mergers
This is part of a series on Regulation A, so subscribe here for more and to learn more, go to www. TheSecuritiesAttorneys.com and get a free copy of our book “How to Go Public”

Disclaimer This is not legal or investment advice of any kind Seek competent advice from qualified attorneys and investment bankers Your situation may vary The more you know about finance and business, the more you can profit

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Regulation A - Ongoing Reports You Must File

  1. 1. www.TheSecuritiesAttorneys.com Reg A – Ongoing Reports You Must File
  2. 2. www.TheSecuritiesAttorneys.com Tier 2 issuers must file an annual report with the SEC on Form 1-K: Annual Report
  3. 3. Tier 2 issuers must file a semiannual report with the SEC Form 1-SA: Semiannual Report
  4. 4. Tier 2 issuers must promptly file current reports on Form 1-U with the SEC
  5. 5. This is for certain corporate events, much the same way as reporting issuers file current reports on Form 8-K
  6. 6. All Reg A issuers are must file a notice under cover of Form 1-Z: Exit Report
  7. 7. Issuers conducting Tier 1 offerings will be required to file Part I of Form 1-Z
  8. 8. Tier 2 offerings must also disclose the same information as issuers conducting Tier 1 offerings in Part I
  9. 9. A Tier 2 issuer's obligations to file ongoing reports could be terminated at any time after completion of reporting for the fiscal year in which the offering statement was qualified,
  10. 10. if the securities of each class to which the offering statement relates are held of record by fewer than 300 persons and offers and sales are not ongoing
  11. 11. Tier 2 issuers in that list securities offered under Reg A on a national securities exchange or that register the Reg A securities under the Exchange Act can file Form 8-A (short form) registration statement with the SEC
  12. 12. New filers need to file a Form ID with the SEC to get access codes to permit filing on EDGAR
  13. 13. www.TheSecuritiesAttorneys.com This is part of a series on Regulation A, so subscribe here for more and to learn more, go to www. TheSecuritiesAttorneys.com and get a free copy of our book “How to Go Public”
  14. 14. www.TheSecuritiesAttorneys.com  Want to know more? – email me at John.Lux@ Securities- Law.info  (240) 200-4529
  15. 15. John E. Lux was in the top 5% of authors on Slideshare in 2014 and has been quoted by Bloomberg as an expert on reverse mergers
  16. 16. Disclaimer  This is not legal or investment advice of any kind  Seek competent advice from qualified attorneys and investment bankers  Your situation may vary  The more you know about finance and business, the more you can profit

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