Rule 424 Prospectus Filings Checklist

Summary

This chart summarizes prospectus (including prospectus supplement) filing requirements under Rule 424(b) subsections that address post-effective date filings. Rule 424 (17 C.F.R. § 230.424) under the Securities Act of 1933, as amended (Securities Act), governs the filing of prospectuses and prospectus supplements once a registration statement has been filed with the U.S. Securities and Exchange Commission (SEC), both before and after the effective date of the registration statement.