IPO Lifecycle

ScreenSEC › SEC Workflows › IPO Lifecycle·step 1

Complete the Country, jurisdiction & regulator fields. Each value is validated against the schema before the next step unlocks.

• Incorporation countryoptional

  incorporationCountry

  ISO 3166-1 alpha-2 country of legal incorporation or domicile. Selecting US routes to SEC Domestic Form S-1; selecting BD routes to Bangladesh BSEC Public Issue Rules; selecting any other country (e.g., GB, CA, SG, KY) routes to US SEC Foreign Private Issuer (Form F-1).

• IPO Jurisdiction (required)

  jurisdiction

  Select the primary capital market jurisdiction governing this IPO transaction. Choosing US displays US SEC / Nasdaq / NYSE options; choosing BD displays Bangladesh BSEC / DSE / CSE options; choosing GB displays United Kingdom FCA / London Stock Exchange (LSE) options.

• Primary Securities Regulator (required)

  primaryRegulator

  Primary securities commission reviewing the registration statement or prospectus.

• Source profile idoptional

  sourceProfileId

  Optional: Select a corporate profile or prior intake case to auto-populate jurisdiction, exchange, offering path, quantitative metrics, and governance artifacts across Stages 1–5.

ScreenSEC › SEC Workflows › IPO Lifecycle·step 2

Complete the Company & entity structure fields. Each value is validated against the schema before the next step unlocks.

• Legal Company Name (required)

  legalCompanyName

  Exact legal name of the registrant as stated on its charter, Companies House PLC Certificate, or RJSC Certificate of Incorporation.e.g. Acme Cloud Holdings, Inc.

• Legal Entity Type (required)

  entityType

  Current corporate form. Pass-through entities (LLC, LP, S-Corp) and Private Limited Companies require conversion prior to IPO effectiveness.

• Corporate Restructuring Plan Confirmedoptional

  restructuringPlanConfirmed

  Confirm that the Board has approved a statutory conversion to a C-Corporation (US) or Public Limited Company (UK PLC / BD PLC) prior to registration effectiveness.

• Restructuring / Conversion Plan Artifact IDoptional

  restructuringPlanArtifactId

  Evidence vault artifact ID for the corporate conversion plan, Companies House s.90 PLC re-registration resolution, or RJSC charter amendment resolution.

ScreenSEC › SEC Workflows › IPO Lifecycle·step 3

Complete the Exchange & offering path fields. Each value is validated against the schema before the next step unlocks.

• Target Stock Exchange (required)

  targetExchange

  Target national securities exchange for admission and trading.

• Target Exchange Listing Tier (required)

  targetExchangeTier

  Specific market tier governing quantitative initial listing thresholds (e.g., Nasdaq Rule 5315/5405/5505, NYSE §102.01, or LSE Main Market ESCC UKLR 5 / AIM).

• Offering Type (required)

  offeringType

  Structure of the initial public offering (firm-commitment underwritten IPO, direct listing, BSEC Fixed Price / Book Building, or LSE Main Market / AIM Placing).

• Initial Registration Path (required)

  registrationPath

  Primary registration statement form or prospectus rule pack.

• Initial Submission Modeoptional

  submissionMode

  Confidential Draft Registration Statement (DRS) under JOBS Act §106 or direct public EDGAR S-1 filing.

ScreenSEC › SEC Workflows › IPO Lifecycle·step 4

Complete the Financial & listing eligibility fields. Each value is validated against the schema before the next step unlocks.

• Annual Gross Revenue (USD Cents)optional

  annualGrossRevenueUsdCents

  Most recent fiscal year total gross revenue in USD cents (Securities Act Rule 405 EGC threshold is < $1,235,000,000 / 123,500,000,000 cents).e.g. 45000000000

• 3-Year Non-Convertible Debt Issued (USD Cents)optional

  nonConvertibleDebtIssued3YrUsdCents

  Cumulative non-convertible debt issued over the prior 3-year rolling period in USD cents (EGC limit is < $1,000,000,000 / 100,000,000,000 cents).

• Large Accelerated Filer (Rule 12b-2)optional

  isLargeAcceleratedFiler

  Whether the issuer currently meets the Exchange Act Rule 12b-2 Large Accelerated Filer definition ($700M+ public float).

• Expected Minimum Bid Price (USD Cents)optional

  expectedMinimumBidPriceCents

  Expected minimum IPO offer/bid price per share in USD cents (Nasdaq Rule 5315/5405/5505 & NYSE §102.01B require at least $4.00 / 400 cents).e.g. 1800

• Expected Unrestricted Publicly Held Sharesoptional

  expectedUnrestrictedPublicShares

  Expected unrestricted publicly held shares at listing (1,250,000 for Nasdaq Global Select; 1,100,000 for Nasdaq Global & NYSE).e.g. 6500000

• Expected Market Value of Public Holdings (USD Cents)optional

  expectedMarketValuePublicHoldingsCents

  Expected Market Value of Unrestricted Publicly Held Shares (MVUPHS) in USD cents ($45M / 4,500,000,000 cents Nasdaq Global Select; $40M / 4,000,000,000 cents NYSE IPO).e.g. 11700000000

• Expected Round-Lot Shareholders (100+ Shares)optional

  expectedRoundLotHolders

  Expected number of round-lot shareholders holding 100+ shares (NYSE §102.01A requires at least 400 round-lot holders).e.g. 520

• Expected Global Market Capitalization (USD Cents)optional

  expectedGlobalMarketCapCents

  Expected Global Market Capitalization in USD cents (NYSE Global Market Cap test >= $200M / 20,000,000,000 cents) or GBP pence for UK LSE Main Market (FCA UKLR 3.2.7R requires >= £30M / 3,000,000,000 pence).e.g. 38000000000

• Aggregate 3-Year Pre-Tax Earnings (USD Cents)optional

  aggregateThreeYearPreTaxEarningsCents

  Aggregate pre-tax earnings over the prior 3 fiscal years in USD cents (NYSE Earnings Test requires >= $10,000,000 / 1,000,000,000 cents).e.g. 1450000000

• Pre-IPO Paid-Up Capital (BDT)optional

  preIpoPaidUpCapitalBdt

  Existing pre-IPO paid-up capital in BDT (BSEC requires >= BDT 15 Crore [150,000,000] for Fixed Price and >= BDT 30 Crore [300,000,000] for Book Building).e.g. 400000000

• Projected Post-IPO Paid-Up Capital (BDT)optional

  postIpoPaidUpCapitalBdt

  Projected post-IPO paid-up capital in BDT (BSEC requires >= BDT 30 Crore [300,000,000] for Fixed Price and >= BDT 75 Crore [750,000,000] for Book Building).e.g. 900000000

• Post-IPO Sponsor & Director Shareholding (bps)optional

  sponsorDirectorPostIpoHoldingsBps

  Post-IPO collective shareholding of Sponsors and Directors in basis points (BSEC requires at least 3000 bps / 30%).e.g. 3500

• Proposed Public Offer Share (bps)optional

  proposedPublicOfferBps

  Percentage of post-IPO shares offered to the public / in public hands in basis points (BSEC and UK FCA UKLR 5.5.1R require at least 1000 bps / 10% free float).e.g. 1500

• Positive Net Profit After Tax (Latest Audited Year)optional

  hasPositiveNetProfitAfterTax

  BSEC Fixed Price IPO requires positive net profit after tax in the latest audited financial statements.

• Has Accumulated Retained Lossoptional

  hasAccumulatedRetainedLoss

  Indicate whether the issuer has any accumulated retained loss (must be false for BSEC Fixed Price eligibility).

ScreenSEC › SEC Workflows › IPO Lifecycle·step 5

Complete the Board authorisation & evidence fields. Each value is validated against the schema before the next step unlocks.

• Board IPO Authorization Resolution Artifact ID (required)

  boardIpoAuthorizationArtifactId

  Evidence vault artifact ID for the Board of Directors resolution authorizing the IPO and registration statement preparation.

• Certificate of Incorporation / RJSC Registration Artifact ID (required)

  incorporationCertificateArtifactId

  Evidence vault artifact ID for the Certificate of Incorporation & Bylaws (US) or RJSC Memorandum & Articles of Association (BD).

• Capitalization Table Summary Artifact ID (required)

  capTableSummaryArtifactId

  Evidence vault artifact ID for the current pre-IPO capitalization table and beneficial ownership schedule.

• IPO Intake Assessed At (required)

  intakeAssessedAt

  Timestamp when the initial IPO intake and eligibility assessment was completed.

ScreenSEC › SEC Workflows › IPO Lifecycle·step 6

Complete the Issuer status fields. Each value is validated against the schema before the next step unlocks.

• Emerging Growth Company (EGC) Statusoptional

  isEmergingGrowthCompany

  US Emerging Growth Companies (EGCs) under Securities Act Rule 405 require 2 years of PCAOB audited financial statements instead of 3 years.

ScreenSEC › SEC Workflows › IPO Lifecycle·step 7

Complete the Corporate restructuring fields. Each value is validated against the schema before the next step unlocks.

• Requires Corporate Restructuring / Conversion (required)

  requiresCorporateRestructuring

  Enable if the applicant is converting from an LLC/LP/S-Corp to a C-Corporation (US) or from a Private Limited Company to a Public Limited Company (BD).

• Corporate Restructuring Completedoptional

  restructuringCompleted

  Confirm that the statutory corporate conversion has been completed and filed with the Secretary of State (US) or RJSC (BD).

• Restructuring Completion Certificate Artifact IDoptional

  restructuringCompletionArtifactId

  Evidence vault artifact ID for the filed Certificate of Conversion or RJSC Public Limited Company Certificate.

ScreenSEC › SEC Workflows › IPO Lifecycle·step 8

Complete the Audited financial statements fields. Each value is validated against the schema before the next step unlocks.

• Independent Public Accounting Firm Name (required)

  independentAuditorFirmName

  Full legal name of the independent public accounting firm auditing the registration financial statements.

• PCAOB-Registered (US) or BSEC Panel Auditor (BD) (required)

  pcaobRegisteredOrBsecPanelAuditor

  Confirm that the independent auditor is actively registered with the PCAOB (US) or listed on the BSEC Panel of Auditors (BD).

• Audited Fiscal Years Completed (required)

  auditedFiscalYearsCount

  Number of consecutive fiscal years with completed independent audits (min 2 for US EGC, 3 for US Non-EGC, 3 for BD BSEC IFRS/IAS).

• Independent Auditor Opinion Type (required)

  auditOpinionType

  Type of audit opinion issued on the historical financial statements (must be Clean / Unmodified for IPO readiness).

• Audited Financial Statements Package Artifact ID (required)

  auditedFinancialStatementsArtifactId

  Evidence vault artifact ID for the Regulation S-X (US) or IFRS/IAS (BD) audited financial statements and signed auditor consent.

ScreenSEC › SEC Workflows › IPO Lifecycle·step 9

Complete the Board & committee governance fields. Each value is validated against the schema before the next step unlocks.

• Audit Committee Independent Directors Count (required)

  auditCommitteeIndependentMembersCount

  Number of independent directors seated on the Audit Committee (Exchange Act Rule 10A-3 & BSEC CG Code require at least 3).

• Has Designated Audit Committee Financial Expert (required)

  hasAuditCommitteeFinancialExpert

  Confirm that the Audit Committee includes at least one designated Audit Committee Financial Expert (Reg S-K Item 407(d)(5) / BSEC CG Code).

• Audit Committee Charter Artifact ID (required)

  auditCommitteeCharterArtifactId

  Evidence vault artifact ID for the Board-approved Audit Committee Charter.

• Compensation Committee Charter Artifact ID (required)

  compensationCommitteeCharterArtifactId

  Evidence vault artifact ID for the Board-approved Compensation Committee Charter.

• Nominating & Governance / NRC Charter Artifact ID (required)

  nominatingGovernanceCharterArtifactId

  Evidence vault artifact ID for the Nominating & Corporate Governance Committee (US) or Nomination & Remuneration Committee — NRC (BD) Charter.

• Code of Business Conduct and Ethics Artifact ID (required)

  codeOfEthicsArtifactId

  Evidence vault artifact ID for the Code of Business Conduct and Ethics (Reg S-K Item 406).

• Insider Trading Policy Artifact ID (required)

  insiderTradingPolicyArtifactId

  Evidence vault artifact ID for the Insider Trading Policy (Reg S-K Item 408 / BSEC Prohibition of Insider Trading Rules).

• Rule 10D-1 Executive Clawback Policy Artifact IDoptional

  clawbackPolicyRule10d1ArtifactId

  Evidence vault artifact ID for the Exchange Act Rule 10D-1 Executive Incentive Compensation Clawback Policy (Nasdaq Rule 5608 / NYSE §303A.14).

ScreenSEC › SEC Workflows › IPO Lifecycle·step 10

Complete the Advisers, cap table & lock-up fields. Each value is validated against the schema before the next step unlocks.

• Lead Left Bookrunner (US) / BSEC Issue Manager (BD) (required)

  leadUnderwriterOrIssueManagerName

  Lead Left Bookrunning Manager (US FINRA member) or BSEC-licensed Merchant Banker Issue Manager (BD).

• Issuer Legal Counsel Firm Name (required)

  issuerLegalCounselName

  Outside securities legal counsel representing the issuer on registration and Exhibit 5.1 legality opinion.

• Underwriter / Issue Manager Legal Counsel Name (required)

  underwriterLegalCounselName

  Outside securities legal counsel representing the underwriting syndicate or issue manager.

• Transfer Agent (US) / CDBL Depository Participant (BD) (required)

  transferAgentOrCdblParticipantName

  SEC-registered Transfer Agent and Registrar (US DRS/DTCC FAST) or CDBL Depository Participant (BD).

• Legal Due Diligence Memorandum Artifact ID (required)

  legalDueDiligenceMemoArtifactId

  Evidence vault artifact ID for the completed legal, IP, and material contracts due diligence memorandum.

• Reconciled Cap Table & Option Audit Artifact ID (required)

  reconciledCapTableArtifactId

  Evidence vault artifact ID for the reconciled capitalization table and ASC 718 / IRC §409A cheap-stock valuation audit.

• 180-Day Lock-Up (US) / 3-Year Sponsor Lock-In (BD) Artifact ID (required)

  lockUpAgreementTemplateArtifactId

  Evidence vault artifact ID for the 180-day Underwriter Lock-Up Agreement (US) or 3-year BSEC Sponsor Lock-In schedule (BD).

• 3-Year BSEC Sponsor & Director Lock-In Confirmedoptional

  bdThreeYearSponsorLockInConfirmed

  Confirm the mandatory 3-year BSEC lock-in period from prospectus issue date for Sponsors, Directors, and 10%+ shareholders.

• Pre-IPO Readiness Assessed At (required)

  readinessAssessedAt

  Timestamp when pre-IPO preparation and working group readiness sign-off was completed.

ScreenSEC › SEC Workflows › IPO Lifecycle·step 11

Complete the Registration statement fields. Each value is validated against the schema before the next step unlocks.

• Upstream Registration Statement ID (Module 03) (required)

  registrationStatementId

  Reference ID of the filed Module 03 Form S-1 or BSEC Draft Prospectus. Selecting a filing auto-fills FINRA Rule 5110 clearance facts.

ScreenSEC › SEC Workflows › IPO Lifecycle·step 12

Complete the Comment letters & responses fields. Each value is validated against the schema before the next step unlocks.

• Regulator Comment Letter Rounds Received (required)

  commentRoundsCount

  Number of regulator staff comment letter rounds received to date.

• Total Individual Staff Comments Received (required)

  totalCommentsReceivedCount

  Cumulative number of individual staff comments received across all review rounds.

• Open / Unresolved Staff Comments Remaining (required)

  openUnresolvedCommentsCount

  Number of staff comments still open/unresolved (must equal 0 for clearance).

• EDGAR CORRESP / BSEC Deficiency Response Letter Artifact IDoptional

  correspondenceResponseArtifactId

  Artifact ID of the point-by-point EDGAR CORRESP or BSEC deficiency response letter (required when commentRoundsCount > 0).

• Amended Registration Statement (Form S-1/A or Updated RHP) Artifact IDoptional

  amendedRegistrationArtifactId

  Artifact ID of the pre-effective amendment (Form S-1/A) or updated Red Herring Prospectus (required when commentRoundsCount > 0).

ScreenSEC › SEC Workflows › IPO Lifecycle·step 13

Complete the Financial statement staleness fields. Each value is validated against the schema before the next step unlocks.

• Financial Statement Age at Target Effectiveness (Days) (required)

  financialStatementAgeDays

  Age in calendar days of the most recent balance sheet at target effectiveness (<= 134 days under SEC Reg S-X Rule 3-12; <= 120 days under BSEC rules).e.g. 88

ScreenSEC › SEC Workflows › IPO Lifecycle·step 14

Complete the Acceleration & no-objection fields. Each value is validated against the schema before the next step unlocks.

• FINRA Rule 5110 No-Objection Letter Confirmedoptional

  finraNoObjectionConfirmed

  Confirm that FINRA Corporate Financing has issued a Rule 5110 No-Objection Letter on underwriting terms.

• FINRA Rule 5110 No-Objection Letter Artifact IDoptional

  finraNoObjectionLetterArtifactId

  Evidence artifact ID for the FINRA Rule 5110 No-Objection Letter.

• Issuer Rule 461 Acceleration Request Executedoptional

  issuerRule461AccelerationSigned

  Confirm the registrant has executed its Securities Act Rule 461 Acceleration Request.

• Managing Underwriter Rule 461 Acceleration Request Executedoptional

  underwriterRule461AccelerationSigned

  Confirm the managing underwriter(s) have executed their concurrent Rule 461 Acceleration Request.

• Rule 461 Acceleration Lead Time Prior to Effectiveness (Hours)optional

  rule461AccelerationLeadHours

  Lead time in hours between filing the Rule 461 Acceleration Request and target effectiveness (minimum 48 hours).

• Joint Rule 461 Acceleration Request Artifact IDoptional

  rule461AccelerationArtifactId

  Evidence artifact ID for the joint Issuer and Managing Underwriter Rule 461 Acceleration Request.

• DSE & CSE 30-Day Observation Report Comments Resolvedoptional

  exchangeObservationResolved

  Confirm all DSE/CSE 30-day listing observation report comments (BD) or FCA UKLR Eligibility & LSE ITF review requirements (GB) have been resolved.

• BSEC Formal Public Issue Consent Letter Artifact IDoptional

  bsecConsentLetterArtifactId

  Evidence artifact ID for the formal BSEC Public Issue Consent Letter (BD) or FCA PRM Prospectus Approval & NSM Filing Certificate (GB).

ScreenSEC › SEC Workflows › IPO Lifecycle·step 15

Complete the Regulatory clearance fields. Each value is validated against the schema before the next step unlocks.

• SEC Section 8(a) Notice of Effectiveness / BSEC Consent Order Artifact ID (required)

  effectivenessOrConsentOrderArtifactId

  Artifact ID of the SEC Section 8(a) Notice of Effectiveness (US), FCA PRM Prospectus Approval Order (GB), or BSEC Public Issue Consent Order (BD).

• Regulatory Clearance Evaluated At (required)

  clearanceEvaluatedAt

  Timestamp when regulatory review and effectiveness clearance was evaluated.

ScreenSEC › SEC Workflows › IPO Lifecycle·step 16

Complete the Effectiveness & communications fields. Each value is validated against the schema before the next step unlocks.

• SEC Section 8(a) Effectiveness / BSEC Public Issue Consent Confirmed (required)

  regulatoryEffectivenessConfirmed

  Confirm SEC Section 8(a) Notice of Effectiveness, FCA PRM Prospectus Approval, or BSEC Public Issue Consent Order is active prior to final pricing and sales.

ScreenSEC › SEC Workflows › IPO Lifecycle·step 17

Complete the Bookbuilding fields. Each value is validated against the schema before the next step unlocks.

• Rule 163B Testing-the-Waters (TTW) Investor Communications Loggedoptional

  ttwCommunicationsLogged

  Confirm all Securities Act Rule 163B Testing-the-Waters (TTW) or UK early-look institutional investor communications have been logged.

• Roadshow Free Writing Prospectus (FWP) Filed under Rule 433optional

  fwpFiledUnderRule433

  Confirm any roadshow Free Writing Prospectus (FWP) under Rule 433 (US) or UK Pathfinder Prospectus & roadshow presentation (GB) has been approved.

• Bangladesh BSEC Offering Methodoptional

  bdOfferingMethod

  Select BSEC Fixed Price Method or Book Building Method.

• BSEC Electronic Subscription System (ESS) EI Bidding Window (Hours)optional

  bdEiBiddingWindowHours

  Duration in hours of the Electronic Subscription System (ESS) Eligible Investor (EI) bidding window (must equal 72 hours for Book Building).

• BSEC General Public Tranche Discount to Cut-Off Price (%)optional

  bdGeneralPublicDiscountPct

  General public tranche discount percentage relative to EI Cut-Off Price (e.g., 10% under BSEC Public Issue Rules).

ScreenSEC › SEC Workflows › IPO Lifecycle·step 18

Complete the Final pricing fields. Each value is validated against the schema before the next step unlocks.

• Final Offer Price per Share (USD Cents / BDT Paisa) (required)

  finalOfferPriceCentsOrPaisa

  Final IPO public offering price per share in USD cents (US) or BDT paisa (BD).e.g. 2000

• Final Firm Shares Offered to Public (required)

  finalSharesOffered

  Final number of firm shares offered to the public (excluding greenshoe over-allotment).e.g. 10000000

• Underwriter 30-Day Greenshoe Over-Allotment Option Sharesoptional

  greenshoeOptionShares

  Underwriter 30-day over-allotment (greenshoe) option share count (up to 15% of firm shares in US / UK).e.g. 1500000

• Aggregate Offering Deviation from Effective S-1 Range (%)optional

  priceRangeDeviationPct

  Percentage deviation of final aggregate offering value from the effective S-1 / Pathfinder price range (<= 20% safe harbor).e.g. 8

• Rule 462(b) Abbreviated Registration / Post-Effective Amendment Artifact IDoptional

  rule462bOrPostEffectiveAmendmentArtifactId

  Artifact ID of Rule 462(b) abbreviated registration / Post-Effective Amendment (US) or FCA Supplementary Prospectus (GB) when deviation exceeds 20%.

ScreenSEC › SEC Workflows › IPO Lifecycle·step 19

Complete the Share allocation fields. Each value is validated against the schema before the next step unlocks.

• Rule 424(b)(4) Final Prospectus Filing Lead Time (Business Days)optional

  rule424b4FilingLeadBusinessDays

  Business days elapsed between pricing and EDGAR Rule 424(b)(4) / FCA NSM Pricing Statement filing (maximum 2 business days).e.g. 1

• Rule 424(b)(4) Final Prospectus Artifact IDoptional

  finalProspectus424b4ArtifactId

  Artifact ID of the Rule 424(b)(4) Final Prospectus filed on EDGAR (US) or Final Pricing Statement & Approved Prospectus filed on FCA NSM (GB).

• BSEC ESS Pro-Rata Allotment Calculation Verifiedoptional

  bdEssProRataVerified

  Confirm Electronic Subscription System (ESS) pro-rata retail and EI allotment calculation has been verified.

• Minimum General Public Subscription Lot (BDT)optional

  bdMinimumSubscriptionBdt

  Minimum general public subscription amount in BDT (minimum BDT 10,000 under BSEC rules).e.g. 10000

• Non-Resident Bangladeshi (NRB) Reserved Quota (%)optional

  bdNrbQuotaPct

  Percentage of shares reserved for Non-Resident Bangladeshis (NRB) (minimum 10% under BSEC rules).

• Certified DSE/CSE ESS Pro-Rata Allocation Sheet Artifact IDoptional

  bdAllocationSheetArtifactId

  Artifact ID of the certified DSE/CSE ESS Pro-Rata Allocation Sheet.

ScreenSEC › SEC Workflows › IPO Lifecycle·step 20

Complete the Underwriting & comfort letters fields. Each value is validated against the schema before the next step unlocks.

• Executed Firm-Commitment Underwriting Agreement Artifact ID (required)

  executedUnderwritingAgreementArtifactId

  Artifact ID of the executed firm-commitment Underwriting Agreement (or BSEC Issue Management & Underwriting Agreement).

• PCAOB AS 6101 / BSEC Auditor Pricing Comfort Letter Artifact ID (required)

  auditorPricingComfortLetterArtifactId

  Artifact ID of the PCAOB AS 6101 / BSEC Independent Auditor Pricing Comfort Letter.

• Final Institutional & Retail Share Allocation Book Artifact ID (required)

  finalAllocationBookArtifactId

  Artifact ID of the final institutional and retail share allocation book.

• Offering Priced & Allocated At (required)

  offeringAllocatedAt

  Timestamp when IPO pricing and share allocation were finalized.

ScreenSEC › SEC Workflows › IPO Lifecycle·step 21

Complete the Ticker & admission basics fields. Each value is validated against the schema before the next step unlocks.

• Approved Exchange Ticker Symbol (required)

  tickerSymbol

  Approved exchange trading ticker / TIDM symbol.e.g. ACME

ScreenSEC › SEC Workflows › IPO Lifecycle·step 22

Complete the Exchange admission fields. Each value is validated against the schema before the next step unlocks.

• Exchange Act Form 8-A Section 12(b) Registration Effectiveoptional

  form8aEffectiveConfirmed

  Confirm Exchange Act Form 8-A Section 12(b) registration statement (US) or FCA Official List Admission (GB) is effective.

• Exchange Act Form 8-A Registration Artifact IDoptional

  form8aArtifactId

  Artifact ID of the filed Exchange Act Form 8-A (US) or FCA Official List Admission Notice (GB).

• Nasdaq / NYSE Formal Listing Certification Approvedoptional

  exchangeListingApprovalConfirmed

  Confirm Nasdaq/NYSE Section 12(b) certification (US) or London Stock Exchange Form 1 Admission to Trading (GB) is approved.

• Nasdaq / NYSE Listing Certification Letter Artifact IDoptional

  exchangeListingCertificationArtifactId

  Artifact ID of the Nasdaq/NYSE formal listing certification letter (US) or LSE Admission & Dealing Notice (GB).

• DSE & CSE Final Listing Approval Grantedoptional

  dseCseListingApproved

  Confirm both Dhaka Stock Exchange (DSE) and Chittagong Stock Exchange (CSE) have granted final listing approval.

• DSE & CSE Final Listing Approval Letter Artifact IDoptional

  dseCseListingApprovalArtifactId

  Artifact ID of the DSE/CSE final listing approval letter.

• Days Elapsed from Subscription Close to DSE/CSE Listingoptional

  listingCompletionDaysFromSubscriptionClose

  Calendar days elapsed from subscription closure to DSE/CSE listing approval (maximum 30 days under Listing Regulations, 2015).e.g. 18

ScreenSEC › SEC Workflows › IPO Lifecycle·step 23

Complete the Depository & settlement fields. Each value is validated against the schema before the next step unlocks.

• CUSIP & ISIN Identifiers Assignedoptional

  cusipIsinAssigned

  Confirm CUSIP/ISIN (US) or GB ISIN & 7-character SEDOL (GB) identifiers have been assigned for the listed security class.

• DTC FAST & DWAC Book-Entry Eligibility Confirmedoptional

  dtcFastEligibleConfirmed

  Confirm Depository Trust Company (DTC) FAST (US) or Euroclear UK & International CREST uncertificated eligibility (GB) is active.

• Settlement Cycle under SEC Rule 15c6-1 (Business Days — T+1 = 1)optional

  settlementCycleBusinessDays

  Settlement cycle in business days (1 business day [T+1] for US Rule 15c6-1; 1 or 2 business days [T+1/T+2] for UK CREST).

• DTC T+1 DVP Settlement Confirmation Artifact IDoptional

  dtcSettlementConfirmationArtifactId

  Artifact ID of the DTC T+1 (US) or Euroclear CREST (GB) Delivery-Versus-Payment (DVP) settlement confirmation.

• CDBL Dematerialized ISIN Assignedoptional

  cdblIsinAssigned

  Confirm Central Depository Bangladesh Limited (CDBL) dematerialized ISIN has been assigned.

• CDBL Beneficiary Owner (BO) Accounts Creditedoptional

  cdblBoAccountsCreditedConfirmed

  Confirm allotted shares have been credited to investor Beneficiary Owner (BO) accounts in CDBL.

• BSEC Oversubscription Refunds Processedoptional

  bsecRefundsProcessedConfirmed

  Confirm oversubscription refunds have been remitted to unallotted/partially allotted applicants.

• CDBL BO Account Credit Confirmation Artifact IDoptional

  cdblCreditConfirmationArtifactId

  Artifact ID of the CDBL BO account credit confirmation report.

ScreenSEC › SEC Workflows › IPO Lifecycle·step 24

Complete the Closing deliverables fields. Each value is validated against the schema before the next step unlocks.

• Auditor Closing Bring-Down Comfort Letter Artifact ID (required)

  bringDownComfortLetterArtifactId

  Artifact ID of the Independent Auditor Closing Bring-Down Comfort Letter.

• Counsel Closing Legal Opinion & 10b-5 Negative Assurance Artifact ID (required)

  closingLegalOpinionArtifactId

  Artifact ID of the Issuer & Underwriter Counsel Closing Legal Opinions and 10b-5 Negative Assurance Letters.

• Net IPO Proceeds Wire / Escrow Release Confirmation Artifact ID (required)

  proceedsWireConfirmationArtifactId

  Artifact ID of the net IPO proceeds wire / escrow release confirmation.

• IPO Transaction Closed & Handed Off At (required)

  transactionClosedAt

  Timestamp when IPO settlement closed and Public Company Compliance handoff occurred.

ScreenSEC › SEC Workflows › IPO Lifecycle·step 25

Complete the Periodic reporting calendar fields. Each value is validated against the schema before the next step unlocks.

• Exchange Act §13(a)/15(d) Form 10-Q & Form 10-K Periodic Calendar Activeoptional

  form10q10kCalendarActive

  Confirm Exchange Act Section 13(a)/15(d) Form 10-Q/10-K (US) or FCA DTR 4 Annual (4-Month) & Half-Yearly (3-Month) (GB) periodic reporting calendar is active.

• Form 8-K 4-Business-Day Material Event Monitoring Activeoptional

  form8kEventMonitoringActive

  Confirm Form 8-K 4-business-day event monitoring (US) or UK MAR Article 17 RNS inside-information disclosure monitoring (GB) is active.

• Newly Public Company SOX 404(a) First-10-K Transition Rule Appliedoptional

  sox404aFirst10kExemptionApplied

  Confirm newly public company SOX 404(a) first-10-K transition rule (US) or UK Corporate Governance Code 2024 Internal Control & Viability Statement milestone (GB) is configured.

• BSEC Monthly IPO Proceeds Utilization Reporting (By 15th of Month) Activeoptional

  bsecMonthlyProceedsUtilizationReportActive

  Confirm BSEC monthly IPO proceeds utilization reporting (due within 15 days of month-end until 100% utilized) is active.

• BSEC & DSE/CSE Quarterly (Q1/Q2/Q3) and Annual Financial Reporting Activeoptional

  bsecQuarterlyFinancialsActive

  Confirm DSE/CSE and BSEC quarterly (Q1/Q2/Q3) and annual audited financial reporting schedules are active.

• Annual BSEC Corporate Governance Code, 2018 Compliance Audit Scheduledoptional

  bsecCorporateGovernanceAuditActive

  Confirm annual BSEC Corporate Governance Code, 2018 compliance certification audit is scheduled.

ScreenSEC › SEC Workflows › IPO Lifecycle·step 26

Complete the Insiders & lock-up monitoring fields. Each value is validated against the schema before the next step unlocks.

• Section 16(a) Initial Form 3 Beneficial Ownership Statements Filedoptional

  section16Form3FiledOnEffectiveness

  Confirm Exchange Act Section 16(a) Form 3 (US) or FCA DTR 5 TR-1 major shareholding (>= 3% threshold for UK issuers) register (GB) is active.

• Section 16 Form 4 2-Business-Day Transaction Monitoring Activeoptional

  section16Form4TwoDayMonitoringActive

  Confirm Form 4 2-business-day insider transaction monitoring (US) or UK MAR Article 19 PDMR/PCA 3-business-day transaction notification monitoring (GB) is active.

• 180-Day Underwriter Lock-Up Expiry & Rule 144 / Form S-8 Calendar Activeoptional

  rule144AndLockUpExpiryCalendarActive

  Confirm 180-day underwriter lock-up release date & Rule 144 (US) or UK Underwriter & Management Lock-Up / Relationship Agreement (GB) calendars are active.

• BSEC 3-Year Sponsor, Director & 10%+ Shareholder Lock-In Monitoring Activeoptional

  bsecThreeYearSponsorLockInMonitoringActive

  Confirm BSEC 3-year statutory lock-in monitoring on sponsor, director, and 10%+ shareholder shares is active in CDBL.

• BSEC & DSE/CSE 10%+ Substantial Shareholding Disclosure Monitoring Activeoptional

  bsecTenPercentHoldingDisclosureActive

  Confirm continuous BSEC/DSE/CSE substantial shareholding (10%+) and sponsor trading declaration monitoring is active.

ScreenSEC › SEC Workflows › IPO Lifecycle·step 27

Complete the Governance phase-in fields. Each value is validated against the schema before the next step unlocks.

• Nasdaq / NYSE 1-Year Full Board Committee Independence Phase-In Trackedoptional

  exchangeCommitteeOneYearPhaseInTracked

  Confirm Nasdaq/NYSE 1-year committee independence phase-in (US) or UK Corporate Governance Code board & committee independence tracking (GB) is active.

• Exchange Act Rule 10D-1 Compensation Clawback Monitoring Activeoptional

  rule10d1ClawbackMonitoringActive

  Confirm Exchange Act Rule 10D-1 clawback monitoring (US) or UK Corporate Governance Code Provision 37 malus & clawback monitoring (GB) is active.

• Public Company Master Compliance Calendar Artifact ID (required)

  complianceCalendarArtifactId

  Artifact ID of the activated Public Company Master Compliance Calendar.

• Section 16 Officer/Director or BSEC Sponsor/Director Insider Roster Artifact ID (required)

  insiderRosterArtifactId

  Artifact ID of the Section 16 Officer/Director/10% Holder or BSEC Sponsor/Director Lock-In Roster.

• Public Company Compliance Engine Activated At (required)

  complianceEngineActivatedAt

  Timestamp when the Public Company Compliance Engine (Engine 2) was activated.