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Form DOS/A Filings

SEC Form DOS/A is a formal filing used to submit a non-public draft pre-qualification amendment to an offering statement under Regulation A. It allows an eligible issuer to revise an earlier draft submission before the public offering statement is qualified.

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What Is SEC Form DOS/A?

SEC Form DOS/A is an amendment submission for a non-public draft offering statement under Regulation A. It is used before qualification to revise an earlier DOS submission.

Eligible issuers submit DOS/A electronically on EDGAR as part of the Regulation A draft review process.

If the issuer proceeds, the initial draft, all DOS/A amendments, and related correspondence must later be publicly filed before qualification.

Key elements typically found in Form DOS/A include:

  • Name of the issuer and identifying information
  • Amendment to a previously submitted non-public draft offering statement under Regulation A
  • Updated offering terms and securities information, if applicable
  • Revised financial statements and required exhibits, if applicable
  • Disclosure changes submitted for non-public SEC staff review
  • Related pre-qualification amendment information, if applicable

SEC Form DOS/A submission Deadlines

This Form does not have a fixed submission deadline. It is generally submitted on an as-needed basis when an issuer needs to amend a non-public draft offering statement under Regulation A before qualification.

Filing Stage Timeline Details
Draft Amendment Submission As needed Filed electronically with the SEC to amend a previously submitted non-public draft offering statement under Regulation A
Public Filing of Draft Materials At least 21 calendar days before qualification The initial non-public submission, all non-public amendments, and related correspondence must be publicly filed on EDGAR
Public Offering Statement Filing Not applicable If the issuer proceeds, the public filing is generally made on Form 1-A rather than Form DOS/A
SEC Qualification Not applicable Form DOS/A itself is not qualified; qualification applies to the public Regulation A offering statement

The timing above reflects SEC guidance on Regulation A draft submissions and public filing requirements.

Key Things to Know About Form DOS/A Filing Rules

  • Used Before Qualification: This registration statement is used only for pre-qualification amendments to a non-public draft offering statement under Regulation A.
  • Non-Public Submission Does Not Eliminate Public Filing: The initial draft, all DOS/A amendments, and related staff correspondence must be publicly filed at least 21 calendar days before qualification.
  • Filed Electronically on EDGAR: Eligible issuers submit Form DOS and DOS/A through EDGAR as Regulation A draft offering statement form types.
  • Form DOS/A Is Not the Public Offering Statement: If the issuer proceeds with the offering, the public filing is generally made on Form 1-A rather than Form DOS/A.
  • Submission Timing Is Event-Driven: There is no fixed submission deadline, and amendments are submitted as needed before qualification.

Submission such as DOS/A update draft Regulation A offering statements are submitted for non-public SEC staff review. Related offering activity can be monitored through the Reg A Offerings section of Filing Insights. Check our  Full SEC filers list to view the full list of SEC filers.

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