As reported here on May 14, the SEC Division of Corporation Finance implemented a secure e-mail system to allow "emerging growth companies" as defined in the Jumpstart our Business Startups (JOBS) Act that have not previously sold securities under the 1933 Act to pre-file confidential registration statements. On October 3, SEC staff posted a sample letter advising that as of October 1, 2012, such companies are able to submit draft registration statements using EDGAR.
Issuers will need a CIK (Central Index Key) number to make the initial filing on EDGAR and must take a number of steps to prepare for that filing. Filers with a CIK number can submit a request to convert their EDGAR status to an electronic filer. When a filer makes its first EDGAR draft submission, it should submit it as a new draft registration statement, even if it is an amendment to a previously submitted version. Each previously submitted draft registration statement, including exhibits, should be attached to the initial registration statement as a separate Exhibit 99 document.
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