Due Diligence Meeting

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Due diligence meeting

Meeting legally required to be held by an underwriter to enable brokers to question a new issuer about an upcoming issue.

An internal meeting held after the registration of a new securitywith the SEC but before the registration's effective date. Under the Securities Act of 1933, all accountants, counsel, underwriters, and managerscan be held civilly liable for knowingly making false or misleading statements in the registration documents. In order to shield themselves from liability, representatives of the registrant conduct a meeting before the registration becomes effective to discuss and if necessary remedy any issues that may have arisen. This is considered a necessary part of due diligence prior to the issuance of a new security.

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