Classification of Issuers of Securities

The video tutorial explains the classification of issuers and its significance in the registration filing process. It covers the pre-filing and waiting periods, detailing the four classifications: non-reporting company, unseasoned issuer, seasoned issuer, and well-known seasoned issuer. Each category is defined by specific criteria such as market capitalization and reporting history, which determine the company's rights and obligations during the registration process.

What determines what an issuer is allowed to do during the different phases of the registration filing process?

What are the four classifications of companies during the pre-filing and waiting periods?

Describe the characteristics of a non-reporting company. How does it differ from a reporting company?

What defines an unseasoned issuer and how does it relate to market capitalization?

Explain the differences between a seasoned issuer and a well-known seasoned issuer. What are their market capitalization thresholds?