Initial Public Offering – What Law Does My Registration Statement Follow? When preparing the registration form, the Registration Statement (usually an S-1) needs to be compliant with the following rules and regulations: Form S-1 and Instructions. Regulation C under the Securities Act (Rules 400 to 498). General Rules and Regulations under the Securities Act (Rules…
The Securities Act of 1933 has the following liability provisions: Section 11(a) imposes liability “in case any part of the registration statement, when such part became effective, contained an untrue statement of a material fact or omitted to state a material fact required to be stated therein or necessary to make the statements therein not…
