Small Issues Exemption

0.01 sec.

Small issues exemption

Securities issues that involve less than $1.5 million are not required to file a registration statement with the SEC. Instead, they are governed by Regulation A, for which only a brief offering statement is needed.

Regulation A

An SEC regulation governing an issue of securities worth $5 million or less. Regulation A exempts these issues from many SEC regulations. While companies making these issues must still make filing statements, the issue's prospectus may be shorter and directors and officers have less liability for false or misleading statements. Many companies making regulation A issues are small businesses.

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