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SEC PERSPECTlVE AND OBSERVATlONS
SECURlTlES OFFERlNG REFORM
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1n addition 1nstruction 1tem Adopting Release adoptmg asset-backed securities automatic shelf registration base prospectus broker-dealer certam Citigroup commenters common equity contammg contmue contract of sale deemed defmition determmation durmg effective date electronic road show eligible elimmate Exchange Act reports exemption filing condition final prospectus fmal followmg Form 8-K Form S-3 free writmg prospectus letters from ABA liability material mcluding mcorporated by reference meligible mitial mtended mterpretation mvestors non-convertible securities offer offermg participant paragraph penny stock permitted post-effective amendment prelimmary prospectus primary offermg prior proposed Proposmg Release prospectus delivery prospectus supplement purposes pursuant to Rule reference mto Reforms registered offermg regularly released Regulation FD reportmg research reports safe harbor Section 11 Securities Act Rule Securities Act Section selling security holders shelf registration statement shell companies statutory prospectus takedown underwriters well-known seasoned issuer withm WKS1 WKSI WKSls WorldCom writing written communication