Regulation S-K Item 401 By: Brenda Hamilton

Going Public Lawyer Securities Law Blog Issuers filing registration statements on Form S-1 for direct public offerings in their going public transactions must comply with Regulation S-K Item 401. Item 410 requires expansive disclosure about the issuer s officers, directors and shareholders. Regulation S-K Item 401 Directors, Executive Officers, Promoters and Control Persons
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