Which registration statements are eligible to be submitted on a confidential basis under Section 6(e)? Section 6(e) provides that an emerging growth company may confidentially submit to the Commission a draft registration statement for confidential, non-public review by the Commission staff prior to public filing, provided that the initial confidential submission and all amendments thereto shall be publicly filed not later than 15 days before the date on which the issuer conducts a road show, as such term is defined in Securities Act Rule 433(h)(4).įor information about the procedures for confidential submissions, please refer to Volume II of the EDGAR Filer Manual. These FAQs address questions relating to the confidential submission of registration statements for review pursuant to new Securities Act Section 6(e). Further, the Commission has neither approved nor disapproved these FAQs. These FAQs are not rules, regulations or statements of the Commission. In these Frequently Asked Questions, the Division of Corporation Finance is providing guidance on the implementation and application of the JOBS Act, based on our current understanding of the JOBS Act and in light of our existing rules, regulations and procedures. The Jumpstart Our Business Startups Act (the “JOBS Act”) was enacted on April 5, 2012. Jumpstart Our Business Startups Act, Frequently Asked Questionsįrequently Asked Questions Confidential Submission Process for Emerging Growth Companies
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