Page 35 - Initial Public Offering - An Introduction to IPO on Wall Street
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3.3.5 S-1
Some filings need to be made in anticipation of an IPO. One of them is the Securities and
Exchange Commission (SEC) Form S-1. For publicly traded companies operating in the US,
filing SEC Form S-1 is the first requirement of SEC that needs to be met to register new stocks.
Any security that fits the requirements must have an S-1 filing before stocks are put up for sale
at a national exchange, such as the New York Stock Exchange. Businesses generally file SEC
Form S-1 prior to their initial public offering (IPO).
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