Rules Governing Disclosure during Registration Process

The video tutorial explains the rules governing disclosures for reporting companies, particularly those undergoing the IPO process. It highlights Regulation SK by the SEC, which dictates financial and non-financial reporting requirements under the 1933 and 1934 Acts. The tutorial covers various forms like the S series for registration and Schedule 14A for prospectus materials. It also discusses ongoing reporting requirements for public companies, including Forms 10K, 10Q, and 8K. All these forms are standardized by the SEC and available on the Securities Exchange website.

What is the primary regulation that governs financial and non-financial reporting requirements for companies under the 1933 and 1934 Acts?

• Regulation FD

• Regulation SK

• Regulation D

• Regulation A

Which forms are generally used by companies for registration purposes during the IPO process?

• Schedule 14A

• Form 8K

• S series forms (S1, S2, S3)

• Form 10K

What schedule must be followed for prospectus material disclosures by reporting companies?

• Schedule 10B

• Schedule 3G

• Schedule 14A

• Schedule 13D

Which form is NOT part of the continued reporting requirements for public companies?

• Form 10Q

• Form 8K

• Form S1

• Form 10K

Where can standardized forms for SEC disclosures be accessed?

• At the local library

• In the Federal Register

• On the SEC's website

• On the company's website