Registration Process: Regulatory Parties

Resource type: Practice Note

Status: Maintained

Jurisdiction: USA

This Note examines the role of the SEC, the state securities authorities, the securities exchanges (NYSE and NASDAQ) and FINRA in an offering of debt or equity securities. In particular, the Note discusses how the SEC undertakes its review of the registration statement and how the SEC enforces the registration provisions of the Securities Act initially through the comment letter process and later, if necessary, through formal legal action.

PLC Corporate & Securities

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Resource ID: 0-380-7924
Products: PLC US Corporate & Securities, PLC US Law Department
This resource is maintained, meaning that we monitor developments on a regular basis and update it as soon as possible.

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