Regulation A filings
Form 1-U, the Regulation A current report
The Regulation A current report, the analog of Form 8-K. Regulation A reporting is not open for onboarding.
- Form
- 1-U, current report
- Deadline
- 4 business days after the trigger, ET
- Who files
- Regulation A Tier 2 issuers
- Comparable form
- Form 8-K
When Form 1-U is due
A business-day clock; weekends and SEC holidays are excluded. All deadlines ET.
What Form 1-U covers
Which Item applies to an event is a legal determination for securities counsel. TakePublic is not a law firm.
- Fundamental changesIncluding bankruptcy or receivership and changes in control.
- PeopleDepartures of key officers and changes in accountants.
- SecuritiesCertain unregistered sales.
Regulation A reporting is not open for onboarding.
TakePublic does not draft or file this form today. The free compliance scan still grades a Regulation A issuer against its 1-K and 1-SA windows and shows the dates in ET.
Frequently asked questions
When is Form 1-U due?
Four business days after the triggering event, excluding weekends and SEC holidays from the count. All deadlines ET.
Is Form 1-U the same as Form 8-K?
No. Form 1-U is the current report for Regulation A issuers; Form 8-K applies to Exchange Act reporting companies. They serve similar event-reporting roles.
Does TakePublic handle Form 1-U?
Not today. Regulation A reporting is not open for onboarding. The free compliance scan still grades a Regulation A issuer against its 1-K and 1-SA windows in ET.
Official sources
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Type a ticker, CIK or company name. The scan reads EDGAR and grades the filing record. No account.
TakePublic is a technology platform, not a law firm, broker-dealer, or auditor. Forms 3, 4 and 5 prepared in TakePublic file only after the reviewer the company designates, such as its securities counsel, signs off; any other filing prepared in TakePublic files only after a licensed securities attorney signs off.