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Corporate Financing Public Offering System Filing Tips


Issuer Name:
Please enter the name of the Issuer exactly as it appears on the Registration Statement/Offering Document. Note that this field has a 40 character limitation. If the “Issuer Name" exceeds the 40 character limitation, please abbreviate.

Effective Date:
If the offering has not been declared effective by the SEC prior to filing with FINRA, please enter the “Anticipated” date in D2.A and select “Anticipated”. This date should reflect the date the issuer intends to seek effectiveness from the SEC. We encourage you to update this date if there are changes after your initial filing.

If the offering was declared effective by the SEC prior to filing with FINRA, please enter the “Actual” date in D2.A and select “Actual”.

SEC Filed Documents and Offering Proceeds:
When entering the “Registration Number”, the “CIK Number” and the document’s “Accession Number”, please ensure that all the numbers are entered correctly.

The table in section D.2.D will be updated when all the document information is provided and “Add Row” is selected. When part of this information is entered incorrectly, the system will display the message “Invalid Link” when the document is entered.

For D2.D.1, there are three options to enter the proposed maximum aggregate offering price (PMAOP) and the documents filed with the SEC:
(a) Carried forward securities:
If the registration includes securities carried forward from a previous registration statement, select this option. Provide the effective date and the amount of securities being carried forward from the previous registration statement. Please note that a reference to the SEC Rule(s) 429; 457(p); 415(a)(5) or (6) should be disclosed in the current offering document.
(b) Increase in offering size:
If the issuer decides to increase the offering size pursuant to SEC Rule 462(b), please select this option. When this option is selected, provide the additional securities and the Previous Effective Date. When entering the Proposed Maximum Aggregate Offering Price (PMAOP), combine the previous and the new PMAOP.

(c) All other filings:
For any filing submitted to the SEC or any other reviewing authority that does not include carry forward securities or an increase in offering size (excluding pre-effective amendments), please select this option.
Method of Distribution:
Depending on the type of filing and how the questions are answered in the “Details” screen of the system, the methods of distribution will vary slightly. For most offerings, the correct selection will be clear.

For Shelf (Base) and WKSI offerings, we encourage filers to select “unspecified” as the proposed method of distribution.