Registration Process: Regulatory Parties | Practical Law

Registration Process: Regulatory Parties | Practical Law

This Note examines the role of the SEC, the state securities authorities, the securities exchanges (NYSE and Nasdaq) and FINRA in an offering of equity or debt securities. In particular, the Note discusses how the SEC enforces the registration provisions of the Securities Act in its review of a registration statement, initially through the comment letter process, and far less commonly, through formal legal action, if necessary.

Registration Process: Regulatory Parties

Practical Law Practice Note 0-380-7924 (Approx. 10 pages)

Registration Process: Regulatory Parties

by Practical Law Corporate & Securities
This Note examines the role of the SEC, the state securities authorities, the securities exchanges (NYSE and Nasdaq) and FINRA in an offering of equity or debt securities. In particular, the Note discusses how the SEC enforces the registration provisions of the Securities Act in its review of a registration statement, initially through the comment letter process, and far less commonly, through formal legal action, if necessary.