Regulation A+ Forms Published- Securities Lawyer 101
On June 19, 2015, Regulation A+ became effective. The new rule imposes certain filing requirements with the Securities and Exchange Commission (SEC). Regulation A+ requires certain offering information be reported on Form 1-Z and it imposes ongoing reporting requirements for issuers that conduct Tier 2 offerings. Form 1-Z requires information about the amount of securities qualified and sold, as well as the price, fees, and net proceeds.
Issuers conducting Regulation A, Tier 2 offerings may report offering information on Form 1-Z or, depending on when the offering is terminated, in their annual report on Form 1-K. Issuers conducting Tier 2 offerings must file annual reports on Form 1-K, semi-annual reports on Form 1-SA and current information reports on Form 1-U.
Regulation A forms are available on the SEC’s website at the links below:
- Form 1-A: Regulation A Offering Statement
- Form 1-K: Annual Reports and Special Financial Reports
- Form 1-SA: Semiannual Report or Special Financial Report Pursuant to Regulation A
- Form 1-U: Current Report Pursuant to Regulation A
- Form 1-Z: Exit Report Under Regulation A
For further information Regulation A+, please contact Brenda Hamilton, Securities Attorney at 101 Plaza Real South, Suite 202 North, Boca Raton, FL, (561) 416-8956, or by email at [email protected]. This securities law Q & A is provided as a general or informational service to clients and friends of Hamilton & Associates Law Group, P.A. and should not be construed as, and does not constitute legal advice on any specific matter, nor does this message create an attorney-client relationship. Please note that prior results discussed herein do not guarantee similar outcomes.
Hamilton & Associates | Securities Lawyers
Brenda Hamilton, Going Public Attorney
101 Plaza Real South, Suite 202 North
Boca Raton, Florida 33432
Telephone: (561) 416-8956
Facsimile: (561) 416-2855