Going Public. Dissecting IPO Form S-1 / Prospectus. (last updated 12 Feb 13). Regulation Ex ante disclosure Ex post enforcement. Info Price. Market forces ECMH Intermediaries. Regulation of public offering. Securities Act of 1933 Section 5
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Form S-1 / Prospectus
(last updated 12 Feb 13)
Securities Act of 1933
(a) Unless a registration statement is in effect as to a security, it shall be unlawful for a person, directly or indirectly--
(1) ... to sell such security ...
(b) It shall be unlawful for any person, directly or indirectly--
(2) to [have delivered] ... such security ... unless accompanied or preceded by a prospectus that meets the requirements of section 10(a).
(c) It shall be unlawful for any person, ... to offer to sell [a security] ... unless a registration statement has been filed as to such security, ...
Cover Page: Terms of IPO
Info to SEC
Who contact? Fees?
Part I: Prospectus
Info to investor
Part II: Additional info
How much IPO cost
Sales of unregistered stock
Can be filed confidentially