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Overview of the Underwriting Process
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accountants acquired AICPA amendment amount apply balance sheet banking BarChris blue sky blue sky laws broker broker-dealer comfort letter Commission common stock convertible securities corporate counsel debt disclosure discussion distribution documents due diligence effective date Exchange Act Release exempt expenses Federal Securities filed financial statements firms fiscal foreign form S-3 income income statement incorporated by reference indenture initial public offering investment banker investors issue issuer letter of intent liability managing underwriter ment NASD obligations option paragraph participation percent period preferred stock preliminary prospectus prior procedures provides public offering price purchase pursuant regis registration statement regulation S-X relating respect rule scienter SEC Securities Act SEC Securities Exchange section 10(b section 11 Securities Act Release Securities Exchange Act securities laws security holders Selected Dealers selling shelf registration sold stabilizing subsidiaries Supp supra note syndicate tion statement transactions unaudited underwriter's underwriting agreement writer