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Who must be registered under the Securities Exchange Act of 1934?

Under Section 15 of the Securities Exchange Act of 1934, most "brokers" and "dealers" must register with the SEC and join a "self-regulatory organization," or SRO.

What is Exchange Act registration?

An Exchange Act registration is a single registration of an entire class of securities (debt or equity). This is different from a Securities Act registration, in which a company registers a certain number of a class of securities (debt or equity) for a particular public distribution.

When Must securities be registered?

The SEC requires companies to file a Form D within 15 days of the first sale under Rule 506, which requires the disclosure of certain information regarding the offering, securities to be sold thereunder and management.

What is Section 13 or 15 D of the Exchange Act?

A company subject to Section 13 or 15(d) of the US Securities Exchange Act of 1934 (Exchange Act), which requires the company to file periodic reports with the US Securities and Exchange Commission (SEC).

Who is subject to Exchange Act?

A company becomes subject to the Exchange Act under the following circumstances: Securities exchange listing. Before a company's securities can begin to trade on a US exchange, the company must register that class of securities (debt or equity) with the SEC under Section 12(b) of the Exchange Act.

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