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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

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ID Form Filer Name Filing Agent Date Actions
22996341DOSSamarium Group Corp Self 06/11/2026
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21879400DOSStar Gold Corp. Self 06/10/2026
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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.

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