SEC FORM 424A:

The SEC Form 424A is a Prospectus Form that a company must file if it has made significant changes to a previously-filed prospectus submitted as part of its Registration Statement. The Form 424A offers significant amendments to a company’s original S-1 filing, beyond merely filling in any blanks left on the S-1. 

A Prospectus is a printed legal document that companies publish prior to selling a security; it details financial information about the company and the securities it is making available for sale (i.e., investment objectives, risks, fees, etc.). Companies are required to file prospectus form 424A in accordance with SEC Rule 424(a).

Prospectuses are important disclosure documents that provide information about the financial security of a company to potential buyers and investors. Information that can be found in the prospectus typically include details of the company’s business, biographies of its directors and officers and their compensation, financial statements, any pending litigation involving the company and any relevant material information about the company, including a listing of the company’s material property holdings. Prospectuses may also contain information about a company’s stock, bond, mutual fund and other investment holdings.

The process of filing and having a 424A approved by the SEC can take anywhere from a few weeks to a few months, depending on amount of material and complexity of the filing. The entire STEVE MUEHLER - SECURITIES team is available throughout this entire process to prepare and submit subsequent amendments, redlines, and correspondence letters.

 

Service(s) to be Provided:

  • Drafting & Preparation of a Federal Securities Laws Compliant 424A Registration Statement (Offering).

    • Our Custom 424A Registration Statement (Offering) includes (but is not limited to):

      • Offering Structuring and Development of a Presentation Grade 424A Registration Statement (Offering),

      • all SEC Filing(s) as required via the EDGAR,

      • Federal Securities Laws Compliance Review, and

      • Access to our Broker-Dealer Network & International Institutional Investment Banking Network.

      • Does Not include any expenses associated with any required Financial Audits, Legal Opinion Letters, Stock Transfer Agents, DTC Registration, Broker Dealer / Market Maker Fees, Shares Registration Fees paid to the SEC, and/or any Listing Fees associated with a Capital Markets Listing. 

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Email: Steve@SteveMuehler.com
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