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Series 79 practice questioneasyIPO Process

What is the first major document filed with the SEC to initiate the IPO process?

  1. AThe final prospectus
  2. BThe registration statement✓ Correct answer
  3. CThe underwriting agreement
  4. DThe letter of intent
Explanation

Why B — The registration statement

The registration statement (typically Form S-1 for first-time issuers) is the first major document filed with the SEC to begin the public offering process. It contains detailed financial and business information about the issuer. The final prospectus is part of the registration statement but is not filed independently as the first step.

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