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 Sltg 1c Form 2008

2008-2025 Form

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Instructions and help about Sltg 1c Form

I’m attorney Laura Anthony founding partner of Legal & Compliance, a full service corporate, securities, and business transactions law firm. Today is the first in a LawCast series detailing testing the waters when conducting an offering using a form S-1. In the last LawCast series, I detailed testing the waters in a Regulation A or A+ offering. I’m now moving on to registered offerings using Form S-1. Historically all offers to sell registered securities prior to the effectiveness of the filed registration statement have been strictly regulated and restricted. The public offering process is divided into three periods: the pre-filing period, the waiting or pre-effective period, and the post-effective period. Communications made by the company during any of those three periods may, depending on the mode and content, result in violations of Section 5 of the Securities Act of 1933. Communication-related violations of Section 5 during the pre-filing and pre-effectiveness periods

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