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2011 Regulation 7 Update - 2011 Regulation 7 Update...

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2011 Regulation 7 Update 1 © 2010 DeVry/Becker Educational Development Corp. All rights reserved. Regulation 7 Update for the 2011 Edition Last Updated February 16, 2011 SECTION A: TEXT ERRATA Item A.1 Pg. R7-47 Item B.1.a. 1934 Registration Requirements The note should contain the word “or”, not the word “and”. The correct wording would be (change highlighted): B. REGISTRATION REQUIREMENTS The 1934 Act requires certain, widely traded, companies to register with the SEC. 1. 1934 Act Registration Requirements a. Only two types of companies must register their securities (1) Companies whose shares are traded on a national exchange; or (2) Companies that have at least 500 shareholders in any outstanding class
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  • Spring '11
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  • Corporation, All rights reserved, U.S. Securities and Exchange Commission, registration requirements, Becker Profhelp

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