Monday, April 20, 2015

When do you file a SEC Form 10 versus a Form S-1?

When do you file a SEC Form 10 versus a Form S-1?
A Form 10 is used to register a general class of securities under Section 12(b) or (g) of the Securities Exchange Act of 1934.

The Form S-1, on the other hand, is used to register their securities under the Securities Act of 1933, i.e., an IPO. One may think of a Form S-1 as a prospectus that potential investors use to consider investing in the company.

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