What Is SEC Form 19b-4? SEC Form 19b-4 is a form that is used to inform the Securities and Exchange Commission (SEC) of a proposed rule change by a self-regulatory organization (SRO) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934. An SRO is a non-governmental body that exercises some degree of regulatory
What Is the SEC Form 20-F? SEC Form 20-F is a form issued by the Securities and Exchange Commission (SEC) that must be submitted by all “foreign private issuers” with listed equity shares on exchanges in the U.S. Form 20-F calls for the submission of an annual report within four months of the end of
What Is SEC Form 20FR12B? SEC Form 20FR12B is a regulatory filing with the Securities and Exchange Commission (SEC) used to register the securities, debt or equity, of a foreign company that wishes to trade on U.S. exchanges. This filing is also known as the Registration for a Class of Foreign Private Issues. Information required on this form ranges
What Is SEC Form 24F-2? SEC Form 24F-2 is a filing that must be submitted annually by open-end management companies in order to collect the requisite fees owed by them to the Securities and Exchange Commission (SEC). The form is also required for face-amount certificate companies and unit investment trusts (UITs). The form must specify
What Is SEC Form 24F-2NT? SEC Form 24F-2NT is a filing used to inform the Securities and Exchange Commission (SEC) of the sale of additional securities. Investment management companies, such as mutual funds, must file SEC Form 24F-2NT when they sell more shares than initially stated in their registration filings. Key Takeaways SEC Form 24F-2NT
What Is SEC Form 25? SEC Form 25 is the document a public company must file with the Securities and Exchange Commission (SEC) to delist its securities under Rule 12d2-2 of the Securities Exchange Act of 1934. The company must issue a press release and post notice on its website of its intention to delist
What Is SEC Form 305B2? SEC Form 305B2 is an electronic filing with the Securities and Exchange Commission (SEC) that allows for a designation of a trustee by a bond issuer on a delayed basis under the Trust Indenture Act of 1939. This would include when registering a shelf offering of bonds or other debt
What Is SEC Form 424A? SEC Form 424A is a prospectus form that a company must file with the Securities and Exchange Commission (SEC) if it has made significant changes to a previously-filed prospectus submitted as part of its registration statement. Form 424A offers significant amendments to a company’s original S-1 or S-2 filings beyond
What Is SEC Form 424B3? SEC Form 424B3 is an amendment form that the Securities and Exchange Commission (SEC) requires companies to file if they wish to change, amend, or add information to their registration prospectus without altering the prospectus in original form. There are eight different types of prospectus amendment forms under Rule 424 within Regulation
What Is SEC Form 424B5? SEC Form 424B5 is a supplemental prospectus a company must file with the Securities and Exchange Commission (SEC) prior to launching an initial public offering (IPO)—should it wish to make changes to the essential offering information previously stated in earlier documents. Key Takeaways SEC Form 424B5 is a corrected prospectus
