SEC Comments 101

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SEC Comments 101

Securities offerings are regulated by the Securities Act of 1933, as amended (the «Securities Act»). Section 5 of the Securities Act requires that securities offerings be registered with the Securities and Exchange Commission (the «SEC») or be exempt from the SEC’s registration requirements. Private companies seeking to go public are often unaware of the SEC comment process. The SEC comment process applies registration statements of companies who go public using an initial public offering («IPO») as well as those conducting a direct public offering.

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