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U.S. Securities and Exchange Commission

"Pre-IPO" Investing

"Pre-IPO" investing involves buying a stake in a company before the company makes an initial public offering of securities.  Many companies and stock promoters entice investors by promising an opportunity to profit from investing in a start-up enterprise at the ground floor level.

Investing at the pre-IPO stage can be risky.  To learn more, please read our publication entitled Risky Business: "Pre-IPO" Investing and our Investor Alert entitled Pre-IPO Investment Scams.


We have provided this information as a service to investors.  It is neither a legal interpretation nor a statement of SEC policy.  If you have questions concerning the meaning or application of a particular law or rule, please consult with an attorney who specializes in securities law.

Modified: 09/06/2011