Securities Lawyer 101 l Brenda Hamilton

Securities Lawyer 101 l Brenda Hamilton

Monday, July 22, 2013

Confidential Submission of Draft SEC Registration Statements l Ask Securities Lawyer 101

Confidential Submission of Draft SEC Registration Statements l Ask Securities Lawyer 101 Ask Securities Lawyer 101 l Confidential Submission Registration Statement The Jumpstart Our Business Startups Act (the “JOBS Act”) allows an “emerging growth company” to submit a draft of its registration statement and exhibits to the Securities and Exchange Commission (the “SEC”) on a confidential basis. This blog posts addresses the common questions we receive about the confidential submission process. Q. When does an emerging growth company have to file its registration statement if I want it to be a confidential submission? A. The JOBS Act requires that emerging growth companies file the initial confidential submission and all amendments with the SEC within 21 days prior to the anticipated effectiveness of the registration statement or road shows. These prior confidential submissions should be included as exhibits to the company’s later publicly filed registration statement, if a

http://www.securitieslawyer101.com/confidential-registration-statement/

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