what is sec form s 1 
sec form s 1 is the initial registration form for new securities required by the sec for public companies that are based in the u s any security that meets the criteria must have an s 1 filing before shares can be listed on a national exchange such as the new york stock exchange companies usually file sec form s 1 in anticipation of their initial public offering ipo form s 1 requires companies to provide information on the planned use of capital proceeds detail the current business model and competition and provide a brief prospectus of the planned security itself offering price methodology and any dilution that will occur to other listed securities 1sec form s 1 is also known as the registration statement under the securities act of 1933 2 additionally the sec requires the disclosure of any material business dealings between the company and its directors and outside counsel investors can view s 1 filings online to perform due diligence on new offerings prior to their issue foreign issuers of securities in the u s do not use sec form s 1 but instead must submit an sec form f 1 3