{"id":6495,"date":"2023-04-16T22:28:37","date_gmt":"2023-04-16T22:28:37","guid":{"rendered":"https:\/\/marc.deschenaux.com\/?p=6495"},"modified":"2023-04-16T22:46:32","modified_gmt":"2023-04-16T22:46:32","slug":"how-are-the-securities-laws-and-regulations-relevant-to-an-ipo-and-what-is-the-process-of-obtaining-regulatory-approvals","status":"publish","type":"post","link":"https:\/\/marc.deschenaux.com\/cn\/articles\/how-are-the-securities-laws-and-regulations-relevant-to-an-ipo-and-what-is-the-process-of-obtaining-regulatory-approvals\/","title":{"rendered":"\u8bc1\u5238\u6cd5\u5f8b\u6cd5\u89c4\u4e0e IPO \u6709\u4f55\u5173\u8054\uff0c\u83b7\u5f97\u76d1\u7ba1\u6279\u51c6\u7684\u6d41\u7a0b\u662f\u4ec0\u4e48\uff1f"},"content":{"rendered":"
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\u8bc1\u5238\u6cd5\u5f8b\u6cd5\u89c4\u4e0e IPO \u9ad8\u5ea6\u76f8\u5173\u3002\u7ba1\u7406\u7f8e\u56fd IPO \u7684\u4e3b\u8981\u6cd5\u5f8b\u662f 1933 \u5e74\u7684\u300a\u8bc1\u5238\u6cd5\u300b\uff0c\u8be5\u6cd5\u8981\u6c42\u53d1\u884c\u8bc1\u5238\u7684\u516c\u53f8\u5728\u7f8e\u56fd\u8bc1\u5238\u4ea4\u6613\u59d4\u5458\u4f1a (SEC) \u6ce8\u518c\uff0c\u5e76\u63d0\u4f9b\u6709\u5173\u5176\u8d22\u52a1\u72b6\u51b5\u3001\u4e1a\u52a1\u8fd0\u8425\u548c\u98ce\u9669\u56e0\u7d20\u7684\u8be6\u7ec6\u62ab\u9732\u3002\u8fd9\u4e9b\u6cd5\u89c4\u7684\u76ee\u7684\u662f\u4fdd\u62a4\u6295\u8d44\u8005\u5e76\u786e\u4fdd\u4ed6\u4eec\u5728\u505a\u51fa\u6295\u8d44\u51b3\u7b56\u65f6\u80fd\u591f\u83b7\u5f97\u51c6\u786e\u548c\u5b8c\u6574\u7684\u4fe1\u606f\u3002<\/p>

\u8981\u83b7\u5f97 IPO \u7684\u76d1\u7ba1\u6279\u51c6\uff0c\u516c\u53f8\u5fc5\u987b\u4e0e\u5176\u6cd5\u5f8b\u548c\u8d22\u52a1\u987e\u95ee\u5bc6\u5207\u5408\u4f5c\uff0c\u51c6\u5907\u4e00\u4efd\u8be6\u7ec6\u7684\u6ce8\u518c\u58f0\u660e\uff0c\u79f0\u4e3a S-1 \u8868\u683c\uff0c\u5e76\u63d0\u4ea4\u7ed9\u7f8e\u56fd\u8bc1\u5238\u4ea4\u6613\u59d4\u5458\u4f1a\u3002 S-1 \u8868\u683c\u5305\u542b\u6709\u5173\u516c\u53f8\u7684\u5927\u91cf\u4fe1\u606f\uff0c\u5305\u62ec\u5176\u4e1a\u52a1\u8fd0\u8425\u3001\u8d22\u52a1\u72b6\u51b5\u3001\u7ba1\u7406\u56e2\u961f\u548c\u98ce\u9669\u56e0\u7d20\u3002 SEC \u5ba1\u67e5 S-1 \u8868\u683c\u4ee5\u786e\u4fdd\u5176\u7b26\u5408\u6240\u6709\u9002\u7528\u7684\u8bc1\u5238\u6cd5\u5f8b\u548c\u6cd5\u89c4\u3002<\/p>

SEC \u7684\u5ba1\u67e5\u8fc7\u7a0b\u901a\u5e38\u9700\u8981\u51e0\u4e2a\u6708\u7684\u65f6\u95f4\uff0c\u5728\u6b64\u671f\u95f4\u516c\u53f8\u53ef\u80fd\u4f1a\u6536\u5230 SEC \u7684\u610f\u89c1\uff0c\u5e76\u53ef\u80fd\u9700\u8981\u66f4\u6539\u5176\u6ce8\u518c\u58f0\u660e\u3002\u4e00\u65e6\u7f8e\u56fd\u8bc1\u5238\u4ea4\u6613\u59d4\u5458\u4f1a\u8ba4\u4e3a\u6ce8\u518c\u58f0\u660e\u751f\u6548\uff0c\u516c\u53f8\u5c31\u53ef\u4ee5\u8fdb\u884c\u9996\u6b21\u516c\u5f00\u52df\u80a1\u3002<\/p>

\u9664 SEC \u5916\uff0c\u516c\u53f8\u53ef\u80fd\u8fd8\u9700\u8981\u83b7\u5f97\u5176\u4ed6\u76d1\u7ba1\u673a\u6784\u7684\u6279\u51c6\uff0c\u4f8b\u5982\u56fd\u5bb6\u8bc1\u5238\u76d1\u7ba1\u673a\u6784\u6216\u7279\u5b9a\u884c\u4e1a\u7684\u76d1\u7ba1\u673a\u6784\u3002\u8fd9\u4e9b\u6279\u51c6\u53ef\u80fd\u4f1a\u589e\u52a0 IPO \u6d41\u7a0b\u7684\u65f6\u95f4\u548c\u590d\u6742\u6027\u3002<\/p>

\u603b\u7684\u6765\u8bf4\uff0cIPO \u7684\u76d1\u7ba1\u8fc7\u7a0b\u590d\u6742\u4e14\u8017\u65f6\uff0c\u516c\u53f8\u4e0e\u7ecf\u9a8c\u4e30\u5bcc\u7684\u6cd5\u5f8b\u548c\u8d22\u52a1\u987e\u95ee\u5bc6\u5207\u5408\u4f5c\u4ee5\u6210\u529f\u9a7e\u9a6d\u8be5\u8fc7\u7a0b\u975e\u5e38\u91cd\u8981\u3002<\/p>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t\t<\/div>\n\t\t<\/div>\n\t\t\t\t\t<\/div>\n\t\t<\/section>\n\t\t\t\t<\/div>","protected":false},"excerpt":{"rendered":"

The securities laws and regulations are highly relevant to an IPO. The primary law that governs IPOs in the United States is the Securities Act of 1933, which requires companies that issue securities to register with the Securities and Exchange Commission (SEC) and provide detailed disclosures about their financial condition, business operations, and risk factors. … \u9605\u8bfb\u66f4\u591a<\/a><\/p>","protected":false},"author":1,"featured_media":6513,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"wds_primary_category":3,"footnotes":""},"categories":[3,57,58,48],"tags":[],"class_list":["post-6495","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-articles","category-ipo","category-ipo-pro","category-professional"],"_links":{"self":[{"href":"https:\/\/marc.deschenaux.com\/cn\/wp-json\/wp\/v2\/posts\/6495","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/marc.deschenaux.com\/cn\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/marc.deschenaux.com\/cn\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/marc.deschenaux.com\/cn\/wp-json\/wp\/v2\/users\/1"}],"replies":[{"embeddable":true,"href":"https:\/\/marc.deschenaux.com\/cn\/wp-json\/wp\/v2\/comments?post=6495"}],"version-history":[{"count":0,"href":"https:\/\/marc.deschenaux.com\/cn\/wp-json\/wp\/v2\/posts\/6495\/revisions"}],"wp:featuredmedia":[{"embeddable":true,"href":"https:\/\/marc.deschenaux.com\/cn\/wp-json\/wp\/v2\/media\/6513"}],"wp:attachment":[{"href":"https:\/\/marc.deschenaux.com\/cn\/wp-json\/wp\/v2\/media?parent=6495"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/marc.deschenaux.com\/cn\/wp-json\/wp\/v2\/categories?post=6495"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/marc.deschenaux.com\/cn\/wp-json\/wp\/v2\/tags?post=6495"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}