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A company must determine the residence of each offeree and purchaser. What you get: Instant access to fillable Microsoft Word or PDF forms.Minimize the risk of using outdated forms and eliminate rejected fillings. Twenty-five copies of such prospectus shall be filed as provided herein. Companies are required to file prospectus documents with the Securities and Exchange Commission (SEC) in order to raise capital for the product being offered. Section 3 (a) (11 ) provides an exemption from the registration and prospectus requirements of the Securities Act. The information in this preliminary prospectus is not complete and may be changed. Registration system for the U.S. securities industry and its regulators. :.02 Notice filing for Rule 504 and 506 Reg. Prior to the filing of a registration statement for a new issue, nothing can be done.