Form 1-A, Regulation A Offering Statement, is a form of the U.S. Securities and Exchange Commission (SEC). The SEC lists it in its forms index under the Securities Act of 1933 and Small Businesses, with the SEC number SEC486. It sits alongside other forms the SEC titles for Regulation A, such as Form 1-SA, Form 1-U and Form 1-Z. On this page you can fill out the form online on FillingPDF and download or print the completed PDF; the original PDF is published by the SEC at sec.gov.
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What is 1-A?
Form 1-A, Regulation A Offering Statement, is the U.S. Securities and Exchange Commission (SEC) form of that name, listed in the SEC's index of forms under the Securities Act of 1933 and the Small Businesses category, where it carries the SEC number SEC486.
The SEC is the federal agency that publishes it. Its index groups several documents around Regulation A. Besides the offering statement, it lists:
- Form 1-SA, Semiannual Report or Special Financial Report Pursuant to Regulation A;
- Form 1-U, Current Report Pursuant to Regulation A;
- Form 1-Z, Exit Report Under Regulation A.
Form 1-K, Annual Reports and Special Financial Reports, appears in the same index under the same two categories.
Form 1-A is a different document from the other forms in the index whose numbers begin with 1. Form 1 is the application for registration or exemption from registration as a national securities exchange, and Form 1-E is the Notification under Regulation E.
The index entry only names and classifies the form. The content of the offering statement and the rules for completing it are in the PDF the SEC publishes at https://www.sec.gov/files/form1a.pdf.
Who needs to file 1-A?
The SEC places Form 1-A, Regulation A Offering Statement, under the Securities Act of 1933 and the Small Businesses category of its forms index. That is the audience the form is filed for: businesses that deal with the SEC under the Securities Act of 1933 and need the Regulation A offering statement rather than another SEC form.
The index does not set out eligibility rules for this form, so check the PDF published by the SEC before relying on it for your situation.
Do not use Form 1-A when you need one of the neighbouring forms. Form 1 is the application for registration or exemption from registration as a national securities exchange. Form 1-E is the Notification under Regulation E. The SEC titles Form 1-SA, Form 1-U and Form 1-Z as reports "Pursuant to Regulation A" or as an exit report, so they are separate documents from the offering statement.
How to fill out 1-A
Confirm Form 1-A is the right form
Check that you need the Regulation A Offering Statement and not Form 1, Form 1-E or one of the Regulation A reports (Forms 1-SA, 1-U, 1-Z).
Compare with the SEC's PDF
Open the original at https://www.sec.gov/files/form1a.pdf and read its instructions, since the SEC's index lists the form but does not explain its lines.
Fill in the form fields
Enter the information the form asks for in each field of the PDF, following the SEC's own instructions printed on the form.
Review every entry
Check each entry against your records and against the SEC's PDF before you finalize the form.
Download the completed PDF
Download or print the completed PDF from FillingPDF, then follow the SEC's instructions for filing it.
Common mistakes to avoid
- Using Form 1 (application for registration or exemption from registration as a national securities exchange) or Form 1-E (Notification under Regulation E) when the document you need is Form 1-A.
- Using Form 1-A for a report that the SEC lists as its own form, such as Form 1-SA, Form 1-U or Form 1-Z, each of which the SEC titles separately.
- Entering SEC486 as the form number; the SEC index prints it as the SEC number, and the form number is 1-A.
- Relying on the SEC's forms index entry as if it were the instructions; it only names and classifies the form, so complete the form from the PDF the SEC publishes.
Frequently asked questions
What is Form 1-A?
Form 1-A is the Regulation A Offering Statement, an SEC form listed in the SEC's forms index under the Securities Act of 1933 and Small Businesses, with the SEC number SEC486. The SEC publishes the PDF at sec.gov.
Can I fill out Form 1-A online?
Yes, you can fill out the Form 1-A PDF online on FillingPDF and download or print it. FillingPDF is an independent service: it does not file the form with the SEC or provide a way to submit it.
What is the difference between Form 1-A and Form 1-K?
Form 1-A is the Regulation A Offering Statement. Form 1-K is titled Annual Reports and Special Financial Reports, and the SEC lists it as a separate form under the same categories. They are different documents.
Is Form 1-A the same as Form 1?
No. Form 1 is the application for registration or exemption from registration as a national securities exchange. Form 1-A is the Regulation A Offering Statement, a separate form with its own SEC number, SEC486.
What is SEC486 on the Form 1-A listing?
SEC486 is the SEC number the forms index prints beside Form 1-A, Regulation A Offering Statement. The form number itself is 1-A.
Where do I get the official Form 1-A PDF?
The SEC publishes Form 1-A at https://www.sec.gov/files/form1a.pdf, and lists it in its forms index at https://www.sec.gov/submit-filings/forms-index. Use that PDF to confirm the form's current content and instructions.
Which forms go with Form 1-A under Regulation A?
The SEC's index lists Form 1-SA (Semiannual Report or Special Financial Report Pursuant to Regulation A), Form 1-U (Current Report Pursuant to Regulation A) and Form 1-Z (Exit Report Under Regulation A) as separate Regulation A forms.
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