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Registration Statement

Trading Term

A required document filed with the SEC during the registration of a new security with the following information:

  • The character of the issuer's business.
  • A balance sheet created within 90 days prior to the filing of the registration statement.
  • Financial statements that show profits and losses for the latest fiscal year and for the two proceeding fiscal years.
  • The amount of capitalization and use of the proceeds of the sale.
  • Monies paid to affiliated persons or businesses of the issuer.
  • Shareholders of senior officers, directors, and underwriters, and identification of individuals holding at least 10% of the company's securities.

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