What documents are included within an IPO processÂ
Well the main document that you'll see is the registration statement on Form S-I That's what investors see when they go to invest in the company The company will also negotiate an underwriting agreement an agreement regarding the distribution of the securities between itself and the investment bank As part of the registration statement there's also the financial statements which are prepared by the company and reviewed or audited by its auditors And then there are a number of ancillary documents depending on the offering If there are warrants involved there'll be a warrant agreement If there's an escrow provision there'll be an escrow agreement But the primary document is the registration statement and then the underwriting agreement
Disclaimer: Joshua Wilson is a licensed Florida real estate broker and holds FINRA Series 79 and Series 63 licensure. The content of this podcast is for informational and educational purposes only and should not be considered legal, financial, or compliance advice. All views and opinions expressed by the host and guests are their own and do not necessarily reflect the policies or positions of any regulatory agency, organization, or employer. Listeners should consult their own legal counsel, compliance teams, or financial advisors to ensure adherence to applicable regulations, including SEC, FINRA, and other industry-specific requirements. This podcast does not constitute a solicitation or recommendation for any financial products or services.
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