Series 79 practice questioneasySEC Registration Statements
Which document must be filed with the SEC for a company’s first-time registered public offering?
- AForm S-8
- BForm 8-K
- CForm 10-K
- DForm S-1✓ Correct answer
Explanation
Why D — Form S-1
A company’s initial public offering requires a Form S-1 registration. S-8 is for employee plans, 8-K is for current events, and 10-K is an annual report, not for initial registrations.
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