Series 24: Liability For False Registration Statements

Taken from our Series 24 Online Guide

Liability for False Registration Statements

Section 11 of the Securities Act of 1933 lays out the consequences for filing a misleading registration statement. Under the Act, investors may sue various parties involved in the registration process of a new offering if there has been a material misrepresentation or omission in the registration statement. Defendants may include any party that signed the registration statement, including:

• The issuer
• The issuer’s executive officers
• The issuer’s principal accounting officer
• Experts who contributed to or certi

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