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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
Section 5(b)(1) allows oral offers, and companies often conduct roadshows during this time. For essentially all written offers, however, Section 5(b)(1) requires that they satisfy Section 10, which regulates what information prospectuses must contain.
Rule as to Use of Form S-6. This form may be used for registration under the Securities Act of 1933 of securities of any unit investment trust registered under the Investment Company Act of 1940 on form N-8B-2.
[1] Section 6(b) of the Securities Act requires an issuer of securities to pay, at the time of filing of a registration statement, a prescribed fee based on the aggregate price of securities to be offered.
The Securities Act of 1933 has two basic objectives: To require that investors receive financial and other docHub information concerning securities being offered for public sale; and. To prohibit deceit, misrepresentations, and other fraud in the sale of securities.
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The actual registration process is laid out in Section 6, under which registration entails two parts: First, the issuer must submit information that will form the basis of the prospectus, to be provided to prospective investors.
The Securities Act of 1933 has two basic objectives: To require that investors receive financial and other docHub information concerning securities being offered for public sale; and. To prohibit deceit, misrepresentations, and other fraud in the sale of securities.
UITs themselves are registered with the SEC and subject to SEC regulation.

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