Registration Statement
Carefully prepared documents, including a prospectus, filed with the Securities and Exchange Commission explaining an impending issue and pertinent data about the issuer.
Registration statement
A legal document filed with the SEC to register securities for public offering that details the purpose of the proposed public offering.
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.
Registration Statement - Document filed with the Securities and Exchange Commission (SEC) explaining an impending issue and pertinent data about the issuer.
Registration statements and prospectuses become public shortly after the company files them with the SEC. All companies, domestic and foreign, are required to file registration statements and other forms electronically.
REGISTRATION STATEMENT. The primary document required to be filed with the SEC in connection with the issuance of securities. Required by the Securities
Act of 1933. A registrant generally uses Form S-1, SB-1, or SB-2 for an initial public offering.
Since the registration statement is a very lengthy and complex document, the Securities Act of 1933 requires the preparation of a shorter document, known as a prospectus, for investors to read.
MobiTV Files Registration Statement for Proposed Initial Public Offering
Publish Date: Aug 31, 2011 04:02 PM ...
Red herring - A registration statement filed with but not yet approved by the Securities and Exchange Commission (SEC). (See: Prospectus) ...
Registered Company A corporation that has filed a registration statement with the SEC prior to releasing a new stock issue. registered coupon bond A bond whose principal, but not interest, is registered. Because of this, the...
Statement of Additional Information ("SAI") - Also known as "Part B" of the registration statement, the SAI explains a fund's operations in greater detail than the prospectus, ...
It highlights the much longer Registration Statement filed with the Commission.
It requires companies which want to sell securities publicly to file a registration statement with the Securities & Exchange Commission. The registration statement provides a lot of information about the company and is a matter of public record.
A registration statement is filed with the SEC by the issuer. It must disclose pertinent information relating to the company's operations, securities, management and purpose of the public offering.
The required waiting period between the time a firm files a registration statement for a new security issue with the SEC and the time the securities actually can be issued.
1. The period of time between filing a registration statement with the SEC and the registration statement being declared effective by the SEC. Also known as the "quiet period" and the "cooling-off period".
You can do this by researching the company in the SEC's EDGAR database and looking at the company's registration statements and other filings.
A printed document that summarizes a corporation's registration statement for a new issue of non-exempt securities that was filed with the SEC. It details material information about the corporation and the security being issued.
The system through which companies electronically file reports and registration statements with the SEC.
REGISTERED SECURITIES - Securities with respect to which a registration statement has been filed with the Securities and Exchange Commission pursuant to the Securities Act of 1933.
Prospectus Summary of the registration statement providing information to investors on an issue of securities.
Protective Covenants Clauses in a loan agreement aimed at reducing default risk to the bondholders.
Cooling off period - This is the time period of a new stock issue from filing the registration statement to the effective date.
They blue sky the issue, etc. during this period.
Part of the IPO process.
agent expenses (this is the person you have to pay when you want to buy or sell shares of a fund), custodian expense (this is when the bank charges the fund for keeping its money in it), registration expense (when a fund files registration statements ...
Every investment company states its specific investment objectives in its registration statement and prospectus. An investment company usually falls within one of the following categories: ...
Definition
EDGAR
An automated computer database maintained by the SEC for the filing of registration statements, periodic reports and other filings mandated under the federal securities laws.
RELATED CATEGORIES ...
Cooling-Off Period
The period between filing of the registration statement on a new issue with the SEC to the effective date of the offering.
A letter from an Independent auditor in securities Underwriting agreements to assure that information in the Registration statement and Prospectus is correctly prepared to the best of the auditor`s knowledge.
Related Links: ...
Date when an offering registered with the SEC may commence, usually 20 days after filing the registration statement.
Efficient Market ...
Restricted Securities
The term used under Rule 144 for securities issued privately by the company, without the benefit of a registration statement. Restricted securities are subject to a holding period before they can be sold under Rule 144.
Form 10K: An annual audited report that covers essentially all the information contained in an issuing company's original registration statement.
Effective Date: In the securities industry, it is the date when an offering filed with the Securities and Exchange Commission may commence - usually 20 days after the filing of the registration statement.
Registrants, other than small business issuers, must include the table of contractual commitments in the registration statements, ...
Securities and Exchange Commission rule that prohibits covering a short position in a security with stock purchased out of a new offering of the security, if the short position was established between the filing of the registration statement and the ...
The process of obtaining approval from a regulatory entity to sell specific securities to the public. In the United States, this process was initiated by the Securities Act of 1933, which requires issuers to file a registration statement with the ...
The additional shares are registered with an amendment to the original registration statement. Profits earned by the manager on covering the short position are distributed to syndicate members pro-rata.
 See also: Registration, Securities, Issue, Investment, Market
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