Form 1-A/A Filings

What Is SEC Form 1-A/A?

SEC Form 1-A/A is an amendment to an offering statement filed on Form 1-A under Regulation A. It is used by issuers to update, correct, or supplement disclosures in a Regulation A offering statement, including revisions to the offering circular, exhibits, or financial information. Amendments are commonly filed in response to SEC staff comments or when material updates are required while the offering statement is under review for qualification.

Form 1-A/A supports transparency by updating the public record of the offering statement on the SEC’s EDGAR system before qualification. Issuers may file multiple amendments as necessary until the offering statement is qualified, after which material updates are generally submitted using applicable post-qualification amendment filing types.

Key elements typically found in SEC Form 1-A/A include:

• Name of the issuer and identifying information for the offering statement
• Amendment number and filing identification details
• Updated offering circular disclosures, as applicable
• Revised financial statements or interim updates, if required
• Updated exhibits, including material contracts or legal opinions
• Signatures and required certifications, as applicable

SEC Form 1-A/A Filing Deadlines

SEC Form 1-A/A does not have a single fixed statutory deadline. Amendments are generally filed as needed during the SEC review process, including to respond to comments, correct deficiencies, or reflect material changes to the offering statement before qualification.

Key Things to Know About Form 1-A/A Filing Rules

• Amendment-Based Filing: Form 1-A/A is used only to amend an existing Form 1-A offering statement and is filed when updates or corrections are needed during the review process.
• Commonly Used During SEC Review: Issuers typically file Form 1-A/A to respond to SEC staff comments and to revise disclosures before qualification can be granted.
• Disclosure Must Stay Current: If material changes occur in the offering terms, business, risk factors, or financials while the offering is under review, an amendment may be required to keep disclosures accurate.
• Multiple Amendments May Be Filed: It is common for issuers to file more than one Form 1-A/A to address comments and finalize the offering statement for qualification.
• Separate Post-Qualification Updates: Updates after qualification are typically made using post-qualification submission types rather than Form 1-A/A, depending on the nature and timing of the change.

To track Regulation A offering statement amendments before SEC qualification, our platform highlights SEC recent filings to help you monitor submissions such as Form 1-A/A, Form 1-A, Form 1-A POS, and Form 1-K. This ensures you stay informed about small-cap capital-raising activity, amendment filings, and compliance updates as they are made public.