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
What Is SEC Form 425? SEC Form 425 is the prospectus document companies must file to disclose information about their business combinations. A business combination may refer to a merger between two or more companies, or a consolidation. Companies are required to file Form 425 in accordance with Rule 425 and Rule 165 of the
What Is SEC Form 485A24F? SEC Form 485A24F is a registration statement for separate accounts offered by management investment companies that contain post-effective amendments filed pursuant to Rule 485(a) with additional shares under Rule 24f-2. The statement is governed by the Securities Act of 1933 and/or the Investment Company Act of 1940. SEC Form 485A24F cannot be submitted as
What Is SEC Form 497? SEC Form 497 is a regulatory document that investment companies such as mutual funds use to file their definitive materials in the Securities and Exchange Commission’s (SEC’s) Electronic Data Gathering, Analysis, and Retrieval (EDGAR) filing system. Definitive materials include any piece of information considered material to an investor, and as
What Is the SEC Form 6-K? The SEC Form 6-K is a form that foreign private issuers of securities are required to submit, pursuant to stated rules in the Securities Exchange Act of 1934. The Form 6-K, or “Report of Foreign Private Issuer Pursuant to Rules 13a-16 and 15d-16,” is administrated by the Securities and Exchange
What Is SEC Form 8-A? SEC Form 8-A is required by the Securities and Exchange Commission (SEC) from companies seeking to register securities. It must be submitted before securities can be offered on an exchange. It is also known as the Registration of Certain Classes of Securities and the short-form registration statement. Form 8-A is
What Is SEC Form 8-K12G3? Securities Exchange Commission (SEC) Form 8-K12G3 is a special form that is used for the filing and notification of a successor issuer. It is typically filed when a merger or acquisition results in a new issuer of a registered security. SEC Form 8-K12G3 is needed pursuant to Section 12 of the Securities
What Is Form ADV-E? The term Form ADV-E refers to an electronic form investments advisers use in order to register with the Securities and Exchange Commission (SEC) and with authorities in their home states. The form is required by the SEC and the Financial Industry Regulatory Authority (FINRA). An electronic version of Form ADV, Form
What Is SEC Form ADV-W? SEC Form ADV-W is used to withdraw registration as a registered investment adviser (RIA) with the Securities and Exchange Commission (SEC). This form is required under the Investment Advisers Act of 1940 and has several schedules that must be completed, listing the advisor’s contact information, current business, and status of
What Is SEC Form BD? SEC Form BD is the form that needs to be completed and submitted to the U.S. Securities and Exchange Commission (SEC) in order to apply for registration as a broker-dealer in the United States. The form must also be updated via amendments any time that there are changes to the information
