Question of the Week

After a federal covered security has filed notice with the Administrator for an initial public offering, what actions are subsequent offerings subject to?

a) No filing notice would be required for subsequent secondary offerings
b) Filing notice would be required for subsequent secondary offerings
c) Registration of subsequent secondary offerings would be required only by Administrator’s order
d) Registration would be required for subsequent secondary offerings

Answer:

The correct answer is b.

Notice filings are required under the Act for both initial and secondary offerings of federal covered securities.

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