Chapter 3 - CHAPTER 3 THE REGISTRATION PROCESS UNDER THE SECURITIES ACT OF 1933, INCLUDING THE INTEGRATED DISCLOSURE SYSTEM

• Jurisdiction: Colorado

Chapter 3 THE REGISTRATION PROCESS UNDER THE SECURITIES ACT OF 1933, INCLUDING THE INTEGRATED DISCLOSURE SYSTEM

SYNOPSIS

§ 3.1 THE REGISTRATION REQUIREMENT

§ 3.1.1—Definition Of "Sale"

§ 3.1.2—Definition Of "Offer"

§ 3.2 THE REGISTRATION PROCESS

§ 3.2.1—Classification Of Issuers

§ 3.3 REGISTRATION STATEMENT FORMS

§ 3.3.1—The Forms

§ 3.3.2—Guidance For The Preparation Of Registration Statements

§ 3.3.3—The Scaled Disclosure Requirements Of Regulation S-K

§ 3.3.4—Electronic Filing — EDGAR

§ 3.3.5—Title I — Emerging Growth Companies

§ 3.3.6—Confidential Submissions

§ 3.4 THE PROSPECTUS

§ 3.4.1—The Statutory Prospectus

§ 3.4.2—Issuer Communications

§ 3.4.3—Other Forms Of Communication

§ 3.4.4—Communications By Broker-Dealers

§ 3.4.5—Cases Regarding Communications

§ 3.4.6—Projections And Forward-Looking Information

§ 3.4.7—Free Writing Prospectuses

§ 3.5 ADDITIONAL REGISTRATION STATEMENT CONCEPTS

§ 3.5.1—The Effective Date

§ 3.5.2—Adding Shares To A Registration Statement

§ 3.5.3—Updating The Information In The Prospectus

§ 3.5.4—Form S-3 Issuers Who Lose Their Eligibility

§ 3.5.5—Communications By Participants In The Distribution

§ 3.6 THE "PRESUMPTIVE...