This a heads up board for posting recent PRE/DEF-14C REGDEX SB-2 Form 1-E / 2-E S-1 / S-2 / S-3 424B1 424B3 S-8 and EFFECT filings.

If you have any questions with regard to toxic financing, or about any of the filings we post, please don't hesitate to ask your questions here. This is an educational board as well as a central location to DD OTCBB and pinksheets that file with the SEC.

This page allows you to search the full text of EDGAR filings from the last two years. The full text of a filing includes all data in the filing as well as all attachments to the filing. http://searchwww.sec.gov/EDGARFSClient/jsp/EDGAR_MainAccess.jsp

Check out Firefly by Yorick. It's a math based application that reads SEC filings and then scores toxicity based on keywords.
http://getfirefly.net/FireflyDocAnalysis.msi


TOXIC CHARTS that correspond to the filings on this board can be found here for easy visualization of how close the dilution is to being spent. http://www.investorshub.com/boards/board.asp?board_id=6016

Definitions

PRE 14C All preliminary information statements, excluding, mergers, contested solicitations and special meetings.
DEF 14C All types of definitive statements, excluding: mergers or acquisitions, contested solicitations and special meetings.
Reg D Companies selling securities in reliance on a Regulation D exemption or a Section 4(6) exemption from the registration provisions of the '33 Act must file a Form D as notice of such a sale. The form must be filed no later than 15 days after the first sale. The exact form type is usually REGDEX, but may be a REG D-1 or similar.
SB-2 This form may be used by "small business issuers" to register securities to be sold for cash.
S-8 This form is used for the registration of securities to be offered to an issuer's employees pursuant to certain plans.
S-1 This is the basic registration form. It can be used to register securities for which no other form is authorized or prescribed, except securities of foreign governments or political sub-divisions thereof.
1-E / 2-E Business development companies (BDC) can avail themselves of a more esoteric provision of the Securities Act – Regulation E, which provides an exemption from registration for securities issued by BDCs. In short, under Regulation E, a BDC may issue up to $5 million worth of securities a year without registration. Also under Regulation E, an individual may offer to sell up to $100,000 of securities in a BDC each year.
424B1, 2, 3, and 4 filings are final registration statements to register stock under previously filed SB-2 S-1 and S-2 filings, and they serve other purposes.
EFFECT filings are notice's of effectiveness of POS AM's and some S filings ie: S-1, SB-2. The EFFECT filing comes prior to the 424B3 filing we see when the shares enter the market.

A great post explaining form 144 Restricted Shares http://www.investorshub.com/boards/read_msg.asp?message_id=16889462

Handy Links

EDGAR http://www.sec.gov/edgar.shtml
Pink Sheets http://www.pinksheets.com/allreps.jsp
OTCBB http://www.otcbb.com/
Form 4 Filings http://www.secform4.com/index.php

Toxic Financing (They do still pop tho from time to time, just a heads up)

Cornell Capital http://www.cornellcapital.com/portfolio/Domestic_Transactions/index.asp?Section=3,0,0

Cornell Stocks This list is most likely not complete and subject to change obviously. If we missed one please drop us a line. Check this great updated Cornell list by jonesieatl (much appreciated!) http://www.investorshub.com/boards/read_msg.asp?message_id=20078597  And his board here http://investorshub.advfn.com/boards/board.aspx?board_id=9964 a must read!

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VFIN http://www.vfinance.com/home.asp?ToolPage=inst_complete.asp&ab=pub
Dutchess http://www.dutchessadvisors.com/home.php
Laurus Funds http://www.laurusfunds.com/investments_lobby.asp