Filing timelines

Question 1

Form 8k

Answer 1

must be filed within 4 business days of a reportable event

Question 2

Regulation S-K

Answer 2

requirements for issuers filing reports with SEC

Question 3

Regulation S-X

Answer 3

requirements for issuer financial statements

Question 4

S 8

Answer 4

registration for securities issued in employee benefit plans

Question 5

prospectus delivery for non-NASDAQ secondary market transaction

Answer 5

40 days after effective date for previously issued stock, or 90 days for stock not previously issued

Question 6

How many red herrings must be filed with SEC

Answer 6

FIVE

Question 7

filing deadlines: 10 K

Answer 7

10K: 60 days of FY end: Large accelerated filer
75 days of FY end: accelerated filer
90 days of FY end non accelerated filer and smaller reporting company

Question 8

filing deadlines: 10 Q

Answer 8

40 days of FY end: Large accelerated filer
40 days of FY end: accelerated filer
45 days of FY end non accelerated filer and smaller reporting company

Question 9

How many copies of final prospectus need to be filed?

Answer 9

ten copies, prior to date of first use with public