Series 66: The Registration Statement

The Registration Statement

As part of the registration process, the issuer is required to disclose important information about the security and the issuer, including the following:

• • A description of the company’s property and business
• • A description of the security to be offered for sale
• • The amount of the security being issued
• • Information about the management of the company
• • Financial statements certified by independent accounts
• • Any previous adverse regulatory actions against them as an issuer

For federal registration, the issuer fills out this information on Form S-1, more commonly known as the registration statement. Form S-1 is filed online through the Securities and Exchange Commission’s EDG