Return to Forms List

Form DOS Filings

SEC Form DOS is a formal filing used by eligible issuers to submit a non-public draft offering statement under Regulation A for SEC review before a public Form 1-A filing

+ Create Alert
Rows per page
ID Form Filer Name Filing Agent Date Actions
No Data Found

What Is SEC Form DOS?

SEC Form DOS is an important filing used to submit a non-public draft offering statement under Regulation A before qualification. It is typically filed when an issuer seeks a confidential SEC staff review before filing a public offering statement on EDGAR.

Key elements typically found in SEC Form DOS include:

  • Name of the issuer and identifying information
  • Draft offering statement submitted under Regulation A
  • Offering terms and securities information, if applicable
  • Financial statements and required exhibits
  • Disclosure submitted for non-public SEC staff review
  • Related pre-qualification amendment information, if applicable

SEC Form DOS Submission Deadlines

Form DOS does not have a fixed submission deadline. It is generally submitted on an as-needed basis when an issuer elects to seek non-public SEC staff review before publicly filing a Regulation A offering statement.

Filing Stage Timeline Details
Initial Draft Submission As needed Filed electronically with the SEC as a non-public draft offering statement under Regulation A
Draft Amendment As needed Revisions before qualification are generally filed using Form DOS/A
Public Offering Statement Filing Not applicable If the issuer proceeds, the public filing is generally made on Form 1-A rather than Form DOS
SEC Qualification Not applicable Form DOS itself does not qualify the offering for sale

Key Things to Know About Form DOS Filing Rules

  • Non-Public Review Tool: This registration statement is used for confidential SEC staff review of a draft Regulation A offering statement before the issuer makes a public filing.
  • Pre-Qualification Filing: Form DOS is used before qualification. If the issuer continues with the offering, it generally later files a public Form 1-A for qualification.
  • Amendments Use DOS/A: If changes are made to the draft before qualification, the issuer generally files a pre-qualification amendment using Form DOS/A.
  • Not a Public Offering Statement: Form DOS is a draft submission and is distinct from the publicly filed Regulation A offering statement.
  • Used in Regulation A Offerings: This Form is event-driven and is typically used when an issuer chooses the draft review process available for Regulation A offerings.

Edgar submissions such as Form DOS relate to draft Regulation A offering statements submitted for confidential SEC staff review. Related offering activity can be monitored through the Reg A Offerings section of SEC Filing Insights.

From the Blog

View All