Summary of SEC Communication Rules for Public Companies: Chart | Practical Law

Summary of SEC Communication Rules for Public Companies: Chart | Practical Law

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Summary of SEC Communication Rules for Public Companies: Chart

Practical Law Checklist 8-381-7617 (Approx. 10 pages)

Summary of SEC Communication Rules for Public Companies: Chart

by Practical Law Corporate & Securities
MaintainedUSA (National/Federal)
This chart summarizes the primary rules under the federal securities laws governing permitted communications and restrictions on publicity applicable to an issuer of securities. The chart identifies the communication rules for each of several classes of issuers (including well-known seasoned issuers, emerging growth companies, seasoned and unseasoned issuers, non-reporting issuers, and ineligible issuers) during the pre-filing period, the waiting period and the post-effective period of an offering registered under the Securities Act.