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While the Securities and Exchange Commission reviews a registration statement for completeness, most issuers can distribute a free-writing prospectus.
Free-Writing Prospectus
A written, electronic, or graphic communication associated with the offer to sell a security and used during the waiting period to supplement other information about the security.
Securities And Exchange Commission
A U.S. federal agency responsible for enforcing federal securities laws, proposing securities rules, and regulating the securities industry, stock and options exchanges, and other related activities and organizations.
Registration Statement
A set of documents filed with a regulatory agency, such as the Securities and Exchange Commission, detailing the specifics of a proposed business offering.
- Understand the role and regulations of the Securities and Exchange Commission (SEC) in securities offerings.
- Recognize the requirements for registration statements and the effects of distributing a prospectus.
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Learning Objectives
- Understand the role and regulations of the Securities and Exchange Commission (SEC) in securities offerings.
- Recognize the requirements for registration statements and the effects of distributing a prospectus.
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