http://www.TheSecuritiesAttorneys.com Reg A – Ongoing Reports You Must File Tier 2 issuers must file an annual report with the SEC on Form 1-K: Annual Report. Tier 2 issuers must file a semiannual report with the SEC Form 1-SA: Semiannual Report. Tier 2 issuers must promptly file current reports on Form 1-U with the SEC. This is for certain corporate events, much the same way as reporting issuers file current reports on Form 8-K. All Reg A issuers must file a notice under cover of Form 1-Z: Exit Report. Issuers conducting Tier 1 offerings will be required to file Part I of Form 1-Z. Tier 2 offerings must also disclose the same information as issuers conducting Tier 1 offerings in Part I of Form 1-Z, unless previously reported by the issuer on Form 1-K. Issuers conducting Tier 2 offerings will also be required to complete Part II of Form 1-Z in order to notify investors and the Commission that it will no longer file and provide annual reports pursuant to the requirements of Regulation A. A Tier 2 issuer's obligations to file ongoing reports could be terminated at any time after completion of reporting for the fiscal year in which the offering statement was qualified, if the securities of each class to which the offering statement relates are held of record by fewer than 300 persons and offers and sales are not ongoing. Tier 2 issuers in that list securities offered under Reg A on a national securities exchange or that register the Reg A securities under the Exchange Act can file Form 8-A (short form) registration statement with the SEC New filers need to file a Form ID with the SEC to get access codes to permit filing on EDGAR www.TheSecuritiesAttorneys.com Want to know more? – email me at John.Lux@ Securities-Law.info (240) 200-4529 John E. Lux was in the top 5% of authors on Slideshare in 2014 and has been quoted by Bloomberg as an expert on reverse mergers This is part of a series on Regulation A, so subscribe here for more and to learn more, go to www. TheSecuritiesAttorneys.com and get a free copy of our book “How to Go Public” Disclaimer This is not legal or investment advice of any kind Seek competent advice from qualified attorneys and investment bankers Your situation may vary The more you know about finance and business, the more you can profit

1. www.TheSecuritiesAttorneys.com
Reg A –
Ongoing Reports
You Must File

2. www.TheSecuritiesAttorneys.com
Tier 2 issuers must
file an annual
report with the SEC
on Form 1-K:
Annual Report

3. Tier 2 issuers must
file a semiannual
report with the
SEC Form 1-SA:
Semiannual
Report

4. Tier 2 issuers must
promptly file
current reports on
Form 1-U with
the SEC

5. This is for certain
corporate events,
much the same
way as reporting
issuers file
current reports on
Form 8-K

6. All Reg A issuers are
must file a notice
under cover of
Form 1-Z: Exit
Report

7. Issuers conducting
Tier 1 offerings
will be required
to file Part I of
Form 1-Z

8. Tier 2 offerings
must also
disclose the same
information as
issuers
conducting Tier 1
offerings in Part I

9. A Tier 2 issuer's
obligations to file
ongoing reports could
be terminated at any
time after completion
of reporting for the
fiscal year in which
the offering statement
was qualified,

10. if the securities of
each class to which
the offering
statement relates
are held of record
by fewer than 300
persons and offers
and sales are not
ongoing

11. Tier 2 issuers in that list
securities offered under
Reg A on a national
securities exchange or
that register the Reg A
securities under the
Exchange Act can file
Form 8-A (short form)
registration statement
with the SEC

12. New filers need to
file a Form ID
with the SEC to
get access codes
to permit filing
on EDGAR

13. www.TheSecuritiesAttorneys.com
This is part of a series on Regulation
A, so subscribe here for more and
to learn more, go to www.
TheSecuritiesAttorneys.com
and get a free copy of our book
“How to Go Public”

14. www.TheSecuritiesAttorneys.com

Want to know
more? – email
me at John.Lux@
Securities-
Law.info

(240) 200-4529

15. John E. Lux was in
the top 5% of
authors on
Slideshare in
2014 and has
been quoted by
Bloomberg as an
expert on reverse
mergers

16. Disclaimer

This is not legal or
investment advice of any
kind

Seek competent advice
from qualified attorneys
and investment bankers

Your situation may vary

The more you know about
finance and business, the
more you can profit