Securities offerings and listings in the US: an ... - Latham & Watkins
Securities offerings and listings in the US: an ... - Latham & Watkins
Securities offerings and listings in the US: an ... - Latham & Watkins
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Table of contentsChapter 1 – Key statutes <strong><strong>an</strong>d</strong> concepts 1<strong>US</strong> <strong>Securities</strong> Act of 1933; <strong>US</strong> <strong>Securities</strong> Exch<strong>an</strong>ge Act of 1934 1Registration under <strong>the</strong> <strong>Securities</strong> Act <strong><strong>an</strong>d</strong> <strong>the</strong> Exch<strong>an</strong>ge Act 1(i) <strong>Securities</strong> Act registration 1(ii) Exch<strong>an</strong>ge Act registration 2Exch<strong>an</strong>ge Act report<strong>in</strong>g 2(i) Annual report on Form 20-F 2(ii) Current reports on Form 6-K 2(iii) O<strong>the</strong>r consequences of Exch<strong>an</strong>ge Act report<strong>in</strong>g 3O<strong>the</strong>r relev<strong>an</strong>t statutes 3What is a “foreign private issuer?” 3(i) Def<strong>in</strong>ition 3(ii) How is ownership determ<strong>in</strong>ed? 4(iii) Benefits for foreign private issuers 4Chapter 2 – The registration process 6General 6Key issues to identify <strong>in</strong> adv<strong>an</strong>ce of registration 7Registration forms 9(i) Form F-1 10(ii) Forms F-2 <strong><strong>an</strong>d</strong> F-3 10(iii) Form F-4 11(iv) Form F-6 11ADRs <strong><strong>an</strong>d</strong> ADSs 12Fil<strong>in</strong>g electronically – EDGAR 12NASD review 13NYSE <strong><strong>an</strong>d</strong> Nasdaq list<strong>in</strong>g requirements 13Prospectus delivery 14www.iflr.com<strong>US</strong> SECURITIES OFFERINGS: A GUIDE FOR NON-<strong>US</strong> ISSUERSi
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