IPO Center › Governance and Controls
United States · Governance
Governance and Controls
Board, management, and control disclosures — in the registration statement and as a public company.
A section of the IPO Center. The facts on this page follow the official text of the authorities cited below, each linked for verification.
Key facts
What the official sources actually say
Every statement below maps to a primary source listed at the bottom of this page.
Management and ownership disclosure
Form S-1 Item 11 calls for issuer information including directors and executive officers, executive compensation, security ownership, and related-person transactions.
Audit-committee oversight
SEC auditor-independence rules require audit-committee pre-approval of audit and permissible non-audit services, and address partner rotation and cooling-off periods.
Exchange governance standards
Nasdaq applicants must satisfy corporate-governance requirements, and the listing process includes a corporate-governance certification.
Event-driven reporting
Form 8-K requires current reporting of specified events, many due within four business days of the triggering event.
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