Due diligence meeting

Due diligence meeting

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

Due Diligence Meeting

An internal meeting held after the registration of a new security with the SEC but before the registration's effective date. Under the Securities Act of 1933, all accountants, counsel, underwriters, and managers can 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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On a regular basis, RiverFront invites a select group of advisors from various financial services firms located throughout the United States to an in-depth due diligence meeting at their headquarters.
RiverFront Investment Group Relocates Headquarters to Downtown Richmond
An off-site due diligence meeting is set for Friday, May 21 from 12pm to 3pm, at the Hampton Inn, 1803 S.
National Commercial Auctioneers to Auction High-End Investment Grade Coastal Properties in Hilton Head Island, Charleston, Myrtle Beach
Twenty-four due diligence officers representing various broker/dealer firms attended the Cornerstone Real Estate Funds due diligence meeting at the company's corporate headquarters on July 21st and 22nd.
Cornerstone Real Estate Funds Wows Due Diligence Attendees
Joe Barile, Essex & York's CEO, stated, "We are disappointed with the performance of Stratus and by the events that have transpired since the due diligence meeting with Stratus prior to the secondary offering.
Pinnacle Investment Partners, L.P. and Essex & York, Inc. Announced Today That They Are Formally Requesting a Meeting with The Management of Stratus Services Group, Inc. And Its Board of Directors
Pink Sheets:NMCX) reported today on a due diligence meeting that was held at its Skull Valley (Ariz.
NMC, Inc. Reports on January 14, 2005 Due Diligence Meeting; Company Experiences Favorable Response to Low-Impact Mining Techniques
Yesterday, the Company met with the Long Island Investment Banker's Association at Ruth's Chris Steakhouse for a due diligence meeting designed to help market and promote the Company's common stock.
ATWEC Technologies, Inc. Holds Shareholder Meeting; Minority-Owned Company Meets With Investment Bankers in New York
The due diligence meeting onboard the ship afforded attendees an opportunity to experience a mid-week cruise and to get an up-close view of the Company's existing ship.
SeaEscape Hosts Second Meeting for Financial Community; Updates Expansion and Other Plans
a publisher of interactive multimedia CD-ROM software for the small office/home office and family lifestyle markets, announced Thursday that it will conduct a due diligence meeting in New York City on Nov.
Allegro New Media sets IPO due diligence meeting
A Cerberus spokesman added: "It is standard operating practice to hold due diligence meetings of this nature with government ministers in advance of making a bid, especially as we had never invested in Northern Ireland previously.
I neither received, sought or was offered a single penny; North's First Minister denies Nama cash was for him
UK insurer Resolution said yesterday it had held due diligence meetings with rivals Standard Life and Pearl, but said it had held no talks on proposals and had received no firm offers from the suitors.
No Resolution to takeover talks; INSURANCE
The independent nature of what we do has proven valuable during internal risk reviews, regulatory exams and client due diligence meetings," Turner said.
Financial Tracking Announces Insider Trading Detection Service Expands To Global Coverage
They then conduct qualitative analysis where they perform scheduled, on-site due diligence meetings and investment committee discussions.
Advisors Asset Management's (AAM) Core Tax Exempt SMA Discipline Added to Envestnet's "PMC-Approved" List

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