Filing Rule 424 Prospectuses in Securities Offerings | Practical Law

Filing Rule 424 Prospectuses in Securities Offerings | Practical Law

This Practice Note reviews the subsections of Rule 424 under the Securities Act of 1933, and the related Rules 430A and 430B, to help counsel determine which Rule 424 subsection they should file a prospectus or prospectus supplement under in an SEC-registered securities offering. This Note examines Rule 424 filings in IPOs and in shelf offerings, including registered medium-term note (MTN) programs. It also offers guidance on several common issues that can arise in the context of filings under Rule 424.

Filing Rule 424 Prospectuses in Securities Offerings

Practical Law Practice Note 6-508-4826 (Approx. 13 pages)

Filing Rule 424 Prospectuses in Securities Offerings

by Practical Law Corporate & Securities
MaintainedUSA (National/Federal)
This Practice Note reviews the subsections of Rule 424 under the Securities Act of 1933, and the related Rules 430A and 430B, to help counsel determine which Rule 424 subsection they should file a prospectus or prospectus supplement under in an SEC-registered securities offering. This Note examines Rule 424 filings in IPOs and in shelf offerings, including registered medium-term note (MTN) programs. It also offers guidance on several common issues that can arise in the context of filings under Rule 424.