What Is SEC Form NSAR-A? SEC Form NSAR-A was a semi-annual filing with the Securities and Exchange Commission (SEC) that registered the financial information of investment management companies at the end of the first six months of their fiscal year (FY) as part of their N-SAR form filing requirement. The form was phased out in
What Is SEC Form NT 10-Q? SEC Form NT 10-Q is a Securities and Exchange Commission (SEC) filing required for companies that will not be able to submit their 10-Q filing (for quarterly financial results) by the SEC deadline or in a timely manner. Mandated by SEC rule 12b-25, Form NT 10-Q requires the registrant’s
What Is SEC Form PRE 14A? SEC Form PRE 14A, also known as a preliminary proxy statement, is a form that is filed with the Securities and Exchange Commission (SEC) when a company holds a shareholder vote is required on an issue not related to a contested matter or merger/acquisition. Form PRE 14A is normally
What Is SEC Form PRE 14C? SEC Form PRE 14C is a preliminary document filed with the Securities and Exchange Commission (SEC). It must be filed by a registrant prior to its annual or special shareholder meetings to provide preliminary information related to a subject other than a merger, contested solicitation, or special meeting. The
What Is SEC Form PRER14A? SEC Form PRER14A is a filing with the Securities and Exchange Commission (SEC) that must be filed by or on behalf of a registrant when preliminary proxy materials are revised. Proxy materials are official documents that public corporations provide to their shareholders so that their shareholders can understand and decide
What Is SEC Form PX14A6G? SEC Form PX14A6G is a notice of exempt solicitation filed with the Securities and Exchange Commission that notifies shareholders it is exempt from conventional solicitation rules, notably in proxy fights. Key Takeaways SEC Form PX14A6G, a notice of exempt solicitation that is filed with the Securities and Exchange Commission, notifies
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
