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IPO Planning: The steps involved prior to the IPO Filing process.


The "pre IPO"phase that attends before the IPO filing is intended to ensure that nobody associated with the IPO will unduly promote it before it has been deemed effective by the Securities and Exchange Commission. This IPO planning process protects investors in the sense that a security that is registered must be declared effective by the SEC.

There are two quiet periods that take place when preparing for an Initial Public Offering. The first one takes place after the filing of the S-1 registration statement form, the main document associated with a filing for SEC effectiveness. After this filing, a quiet period immediately begins and does not end until the SEC has declared the registration statement effective. As such, the company needs to have a prospectus on file. Company executives, potential issuers, analysts and others with favorable access to the details of the filing are all restrained from discussing the details of the IPO at this time.

When the company finally submits its IPO plan, after the public offerings first day of public trading, another quiet period goes into effect for 40 calendar days. During that time, underwriters and analysts who are affiliated with the IPO planare not permitted to make any earnings forecasts or other major public statements regarding its future profitability. This tends to be the most uncomfortable part of the IPO filing, since the public perception of the IPO may ebb and flow during this time and there is little that anyone associated with the offering is legally permitted to do about it.

Although there are other quiet periods that can be activated upon certain unusual conditions, the two periods described above are those that every IPO will face. During these periods, the stock price and its projected outlook can be quite volatile.

For information about the IPO planning process please contact us to receive free reports via email.

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