In addition, when including graphic presentations in the prospectus, registrants should be sure that: Registrants should refer to Rule 304 of Regulation S-T. Are graphic presentations permitted in the prospectus?Īnswer: Yes. Question: In many registered public offerings, registrants choose to include text and/or artwork inside the front and back cover pages. Question: May a registrant obtain a waiver from form eligibility requirements?Īnswer: Requests for waivers of form eligibility requirements are granted only under very limited circumstances and are handled solely by the Division's Office of Chief Counsel. Securities Act Forms Generally Question 101.01 QUESTIONS AND ANSWERS OF GENERAL APPLICABILITY Section 101. The bracketed date following each C&DI is the latest date of publication or revision. Some of these C&DIs were first published in prior Division publications and have been revised in some cases. These Compliance and Disclosure Interpretations ("C&DIs") comprise the Division's interpretations of Securities Act Forms.
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