SEC Securities Registration

The Securities Act of 1933 requires that companies publicly disclose important financial information to help investors make informed decisions about investing in a company’s securities. Companies make their initial disclosures by registering securities with the Securities and Exchange Commission (SEC).

The Registration Process

In general, all securities publicly offered for sale in the U.S. must be registered with the SEC or must qualify for an exemption from SEC registration requirements.

The SEC provides registration forms that typically require:

• a description of the company’s properties and businesses;
• a description of the security to be offered for sale;
• information about the management of the company; and
• financial statements certified by independent accountants.

How to Find Securities Registration Information

Registration statements and prospectuses become publicly available shortly after they are filed with the SEC. If filed by domestically-headquartered U.S. companies, many corporate disclosures can be found on the EDGAR database at www.SEC.gov.

What if a company made false statements in its SEC registration?

While the SEC requires that the information provided in the securities registrations be accurate, it does not guarantee it.

If investors purchase securities and suffer losses as a result of incomplete or inaccurate disclosure of important information (often through false or misleading securities statements), the Securities Act of 1933 provides them with the right to sue for recovery of their losses.

SEC Whistleblowers

Gibbs Law Group encourages persons who know about possible securities violation to contact the firm. Under the SEC whistleblower laws promulgated under the Dodd-Frank Wall Street Reform and Consumer Protection Act, whistleblowers may be receive a reward of up to 30 percent of the recovery for information leading to a successful enforcement action by the SEC and are protected from employer retaliation. If you believe that you have information about a securities violation, please contact us at 866.981 4800 or by filling out the form at the right.