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Form DOSLTR Filings

SEC Form DOSLTR is a filing used to submit correspondence related to a non-public draft offering statement under Regulation A. It is filed on EDGAR as part of the SEC staff review process for draft offering statements

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What Is SEC Form DOSLTR?

SEC Form DOSLTR is an important filing used to submit letters to the SEC staff regarding a draft offering statement under Regulation A. These letters may either be included in the DOS submission as a COVER document or filed separately as DOSLTR, and they are used during the non-public draft review process before public filings are made to complete the offering.

Key elements typically found in SEC Form DOSLTR include:

  • Name of the issuer and identifying information
  • Reference to the related draft offering statement under Regulation A
  • Correspondence or response letter to SEC staff
  • Discussion of staff comments, revisions, or supplemental explanations
  • Identification of the submission as DOSLTR
  • Related pre-qualification draft review information, if applicable

SEC Form DOSLTR submission Deadlines

This registration statement does not have a fixed statutory submission deadline in the same way as periodic or event-triggered reporting forms. It is filed as needed when an issuer submits correspondence related to a draft offering statement under Regulation A during the SEC staff review process.

Filing Stage Timeline Details
Draft Review Correspondence As needed This registration statement is used when an issuer submits correspondence related to the SEC staff’s review of a DOS submission.
Submission Timing Not applicable No fixed calendar deadline is specified; the submission depends on the timing of the draft review process.
Filing Method At the time of correspondence Filed electronically with the SEC on EDGAR using submission type DOSLTR.
Public Filing Transition Before public offering completion, as applicable Filers should not use the CORRESP form type until they begin making public filings to complete their offerings.

Key Things to Know About Form DOSLTR Filing Rules

  • Draft Review Correspondence Only: DOSLTR is used for letters to SEC staff regarding draft offering statements submitted under Regulation A.
  • May Be Included or Filed Separately: Correspondence can either be included in the SEC Form DOS submission as a COVER document or submitted separately as DOSLTR.
  • Used Before Public Filing Stage: Filers should not use the CORRESP form type until they begin making public filings to complete their offerings.
  • No fixed submission Deadline: DOSLTR is filed as needed during the non-public draft review process rather than on a set calendar deadline.
  • Electronic Submission Required: DOSLTR is submitted electronically through EDGAR using the Regulation A filing pathway.

Edgar submission, such as DOSLTR record correspondence with SEC staff during the draft review of Regulation A offering statements. Related offering activity can be monitored through the Reg A Offerings section of Filing Insights. You can also review The 15 Most Important SEC Filings for a broader filing context.

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