Which is included in the application for 1934 Act registration?

• A. Organization, financial structure, and nature of the business
• B. The company’s marketing plan
• C. Employee payroll for the last six months
• D. The CEO's personal financials for the last year

Answer: (A)

Under the Securities Exchange Act of 1934, the filing for registration focuses on the issuer’s fundamental facts: how the company is organized, its capital structure, and the nature of its business. This information helps regulators and investors understand who runs the company, how it is financed, and what it does, which are essential for assessing risk and governance. Items like a marketing plan, employee payroll data, or the CEO’s personal financials are not part of the 34 Act registration filing.