Series 24: IPO Communications Rules And Liabilities

Taken from our Series 24 Online Guide

IPO Communications Rules and Liabilities

To enforce the provisions of the Securities Act, the SEC has developed numerous rules to guide communications involving a public offering and to enforce those regulations.

These restrictions are most easily understood by dividing the offering period into the three periods of the registration process described earlier: the pre-filing period, the cooling-off period, and the post-filing period.

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