Which One of the Following Forms Is Used When Companies

question 67

Multiple Choice

Which one of the following forms is used when companies have filed with the SEC for less than 36 months but are not large enough to file form S-3?

• A) S-8.
• B) S-6.
• C) S-4.
• D) S-1.
• E) S-11.

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Definitions:

Civil Lawsuit

A legal proceeding initiated by one party against another over a civil matter, such as contracts, torts, or property disputes.

Criminal Prosecution

The process by which a person is charged, tried, and possibly convicted by the judicial system for a crime.

Mediation

A type of dispute resolution where the parties to a lawsuit meet with a neutral third party (the mediator) in an effort to settle the case. The mediator’s job is to listen to the evidence, help the litigants come to understand each other’s viewpoint regarding the controversy, and then facilitate the negotiation of a voluntary resolution to the case. Mediation is not binding on the parties.

Neutral Third-Party

An impartial entity involved in conflict resolution or mediation, not favoring any side involved in the dispute.