Registration

Registration
1. The process by which a company files required documents with the Securities and Exchange Commission detailing the particulars of a proposed public offering. A company issuing shares must reveal essential facts and detailed information about its business during the registration process, including a business and asset description, a description of the security being offered and the details of that offering, a description and names of the company's management, and the company's financial statements, which have been certified by an accountant working independently of the company.

2. The process by which securities brokers or dealers become legally entitled to sell securities. To have the authority to sell securities, a broker or dealer must file forms and be granted registration with the SEC, must already be a member, or must become a member of a self-regulatory organization such as the NASD, be registered with the state or states in which he or she intends to sell securities if such state laws require him or her to do so, and finally, be or become a member of the Security Investor Protection Corporation.

1. Companies must now file the required information electronically, so it can be accessible to the public more quickly. Companies must also file a prospectus, which provides a summary of the company's share offering including the size, what the funds raised will be used for, and contact information for the company. Some securities are exempt from the SEC's registration process. These include limited and private offerings and municipal, state and federal security offerings.

2. Not every person working for a securities dealer or broker or an investment bank must be registered in order to conduct business, but the requirements are very stringent, by necessity. If you're thinking about selling securities or working for an investment bank as a career, it's best to check with the relevant authorities in your jurisdiction to ensure that you have fully complied with all relevant laws governing the sale of securities.


Investment dictionary. . 2012.

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Look at other dictionaries:

  • registration — reg·is·tra·tion /ˌre jə strā shən/ n 1: the act of registering 2: an entry in a register 3: a document certifying an act of registering Merriam Webster’s Dictionary of Law. Merriam Webster. 1996 …   Law dictionary

  • registration — ► NOUN 1) the action or process of registering or of being registered. 2) (also registration mark or registration number) Brit. the series of letters and figures identifying a motor vehicle, displayed on a number plate …   English terms dictionary

  • registration — ● registration nom féminin (de registrer) Art d utiliser les jeux et de combiner les timbres à l orgue ou au clavecin, laissé le plus souvent à l initiative de l interprète. registration [ʀ(ə)ʒistʀɑsjɔ̃] n. f. ÉTYM. XXe; « inscription sur un… …   Encyclopédie Universelle

  • Registration — Reg is*tra tion ( tr? sh?n), n. [LL. registratio, or F. r[ e]gistration. See {Register}, v.] 1. The act of registering; registry; enrollment. [1913 Webster] 2. (Mus.) The art of selecting and combining the stops or registers of an organ. [1913… …   The Collaborative International Dictionary of English

  • registration — (n.) 1560s, from M.L. registrationem, noun of action from pp. stem of registrare (see REGISTER (Cf. register) (v.)) …   Etymology dictionary

  • registration — [rej΄i strā′shən] n. [ML registratio] 1. a registering or being registered 2. an entry in a register 3. the number of persons registered 4. Music a) the act or technique of registering b) the combination of or …   English World dictionary

  • registration — noun ADJECTIVE ▪ full ▪ limited ▪ formal ▪ compulsory, mandatory ▪ complimentary, free …   Collocations dictionary

  • registration — In the securities market describes process set up pursuant to the Securities Exchange Acts of 1933 and 1934 whereby securities that are to be sold to the public are reviewed by the SEC. Bloomberg Financial Dictionary * * * registration… …   Financial and business terms

  • registration — re|gis|tra|tion S3 [ˌredʒıˈstreıʃən] n 1.) [U] the act of recording names and details on an official list registration of ▪ the registration of motor vehicles ▪ Student registration (=for a course of study) starts the first week in September. ▪… …   Dictionary of contemporary English

  • registration — n. 1) to conduct registration 2) gun; voter registration * * * [ˌredʒɪ streɪʃ(ə)n] voter registration gun to conduct registration …   Combinatory dictionary

  • registration */*/ — UK [ˌredʒɪˈstreɪʃ(ə)n] / US noun [uncountable] Word forms registration : singular registration plural registrations the process of recording names or information on an official list voter/vehicle registration There s a registration fee of £50 …   English dictionary

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