Section 12 Registration
Even if your company does not have an effective registration statement for a public offering it could still be required to file a registration statement and become a reporting company under section 12 of the exchange act if.
Section 12 registration. Rules related to registration and termination of registration under section 12 g and suspension of reporting obligations under section 15 d the commission adopted amendments to exchange act rules 12g 1 12g 2 12g 3 12g 4 and 12h 3 to reflect the statutory changes made by the jobs act and the fast act. In the case of an issuer that is a bank a savings and loan holding company as defined in section 1467a of title 12 or a bank holding company as such term is defined in section 1841 of title 12 not later than 120 days after the last day of its first fiscal year ended after the effective date of this subsection on which the issuer has. Securities to be registered pursuant to section 12 g of the act.
Issuer size section 12 g an issuer must register under section 12 g of the exchange act if a class of its equity securities other than exempted securities. A section 12 b registration statement on form 8 a or form 10 must be effective prior to an issuer listing its securities. Trading on a national securities exchange.
Securities exchange act of 1934. If this form relates to the registration of a class of securities pursuant to section 12 b of the exchange act and is effective pursuant to general instructions a c or e check the following box. Often an sec proceeding to revoke registration pursuant to section 12 j will be preceded by a 10 day suspension in trading.
For registration of certain classes of securities. Section 12 j of the exchange act grants the sec the authority to revoke a company s exchange act registration when it has a history of delinquent filings. Sec form 15 12b is a certification of termination of registration of a class of security under section 12 g or notice of suspension of duty to file reports pursuant to section 13 and 15 d of the.