Regulation A - Ongoing Reports You Must File

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Reg A – Ongoing Reports

You Must File


Tier 2 issuers must file an annual report with the SEC on Form 1-K: Annual Report

Tier 2 issuers must

file a semiannual report with the

SEC Form 1-SA: Semiannual

Report

Tier 2 issuers must

promptly file current reports on

Form 1-U with the SEC

This is for certain corporate events, much the same

way as reporting issuers file

current reports on Form 8-K

All Reg A issuers are must file a notice

under cover of Form 1-Z: Exit

Report

Issuers conducting Tier 1 offerings will be required to file Part I of

Form 1-Z

Tier 2 offerings must also

disclose the same information as

issuers conducting Tier 1 offerings in Part I

of Form 1-Z, unless previously reported by the issuer on Form 1-K. Issuers conducting Tier 2 offerings will also be required to complete Part II of Form 1-Z in order to notify investors and the Commission that it will no longer file and provide annual reports pursuant to the requirements of Regulation A

A Tier 2 issuer's obligations to file

ongoing reports could be terminated at any time after completion of reporting for the fiscal year in which

the offering statement was qualified,

if the securities of each class to which

the offering statement relates are held of record by fewer than 300 persons and offers and sales are not

ongoing

Tier 2 issuers in that list securities offered under

Reg A on a national securities exchange or that register the Reg A

securities under the Exchange Act can file Form 8-A (short form) registration statement

with the SEC

New filers need to file a Form ID

with the SEC to get access codes to permit filing

on EDGAR


This is part of a series on Regulation A, so subscribe here for more and

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Want to know more? – email me at John.Lux@ Securities-Law.info

(240) 200-4529

John E. Lux was in

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Disclaimer

This is not legal or investment advice of any kind

Seek competent advice from qualified attorneys and investment bankers

Your situation may vary

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Regulation A - Ongoing Reports You Must File

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