30.8.18: Archived- Prefiling Issues and Conferences

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Abstract

If your filing is an IPO, you should determine which AD office your filing will be assigned to. You can match your company's SIC code with SIC code assignments on the SEC website to determine the likely destination of your filing. In addition to determining which AD office your filing will be in, try to find out who is the screener for the AD office by calling the main telephone number of the AD office. Most of the telephone numbers of the SEC staff can be found on the SEC website. The AD's secretary should be able to give you this information. If your filing presents unique issues that may complicate the screening or review process (e.g. a security with unique characteristics or significant accounting issues), you should consider contacting the staff in advance of the filing date to brief them on these issues.