Regulation M restricted-period assessment

ScreenSEC › SEC Workflows › Regulation M restricted-period assessment·step 1

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

• Domain entity ID (required)

  entityId

  The organisation or system this record is about — lowercase with dashes, e.g. acme-corp-hq. Pick one you have used before, or type a new id to create it.

• Registrant CIK (required)

  cik

  Enter registrant cik. An example value is "0001234567".

• This is an amendmentoptional

  isAmendment

  Enter this is an amendment.

• Amends accession numberoptional

  amendmentOf

  Enter amends accession number.

ScreenSEC › SEC Workflows › Regulation M restricted-period assessment·step 2

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

• Distribution (required)

  distributionId

  Enter distribution.

• Security trading tier (required)

  securityTier

  Enter security trading tier.

• Pricing date (required)

  pricingDate

  Enter pricing date.

• Distribution completedoptional

  completionDate

  Enter distribution completed.

• Other distributions running concurrentlyoptional

  concurrentDistributionIds

  Enter other distributions running concurrently.

ScreenSEC › SEC Workflows › Regulation M restricted-period assessment·step 3

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

• Covered persons (required)

  coveredPersons

  Enter covered persons.

ScreenSEC › SEC Workflows › Regulation M restricted-period assessment·step 4

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

• Permitted activities and their basisoptional

  permittedActivities

  Enter permitted activities and their basis.