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Diane Publishing Books
Securities Regulation: Factors That May Affect Trends in Regulation A Offerings
Angela N. Clowers (au)
Businesses seeking to use public offerings of securities to raise capital must comply with federal and state securities laws. They must register offerings with the Securities and Exchange Comm. (SEC) unless they qualify for an exemption. Regulation A exempts a securities offering that does not exceed $5 million from SEC registration if certain requirements are met. However, businesses still must file an offering statement that includes an offering circular and financial statements with SEC, and SEC staff review filings for consistency with applicable rules and accounting standards. In addition, Regulation A does not exempt offerings from statesäó» registration requirements, which are also intended to protect investors. Concerned about the decline in the number of public offerings, the JOBS Act requires SEC to amend Regulation A (or to adopt a new regulation) to raise the threshold for use of that registration exemption from $5 million to $50 million, and requires a study the impact of state securities laws on Regulation A offerings. This report examines (1) trends in Regulation A filings, (2) how states register Regulation A filings, and, (3) factors affecting the number of Regulation A filings and how the number of filings may change in the future. Table and figure. This is a print on demand report.
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