Registration Period

Registration Period

The process by which a company files required documents with the Securities and Exchange Commission detailing the particulars of a proposed Public Offering. A company issuing shares must reveal essential facts and detailed information about its business during the registration process, including a business and asset description, a description of the security being offered and the details of that offering, a description and names of the company’s management, and the company’s financial statements, which have been certified by an accountant working independently of the company. – Source: Investopedia.com

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    • Quiet Period

      In terms of an IPO, the period where an issuer is subject to a SEC ban on promotional publicity. The quiet period usually lasts either 40 or 90 days from the IPO. – Source: Investopedia.com

    • Withdrawal Period

      On the effective date of an IPO or Marketed Secondary Offering, investors will be given at least a 60 minute window to cancel their COB. This is "one last chance" for an investor to cancel a COB. You can also withdraw or modify your conditional offer ...

    • Price Range

      An estimated range, usually in $2.00 increments ($18-$20 as an example) within which an Offering is expected to be priced. This range can change during the Registration Period and is only a guide. A final price will be chosen on the Effective Date.

    • Block Offering

      A block of shares available for purchase usually priced at or below market prices, usually without a registration statement. A block of shares for sale is announced after the market closes, usually at a discount to the closing price. Investors have a ...