What Is SEC Form S-3? Form S-3 is a simplified security registration form utilized by businesses that have already met other reporting requirements. The form registers securities with the SEC under the Securities Act of 1933 for U.S.-based companies only. Companies looking to use the S-3 must have satisfied all reporting requirements of the Securities
What Is SEC Form S-4? SEC Form S-4 is filed by a publicly traded company with the Securities and Exchange Commission (SEC). It is required to register any material information related to a merger or acquisition. In addition, the form is also filed by companies undergoing an exchange offer, where securities are offered in place of
What Is SEC Form S-6? SEC Form S-6 is an initial registration statement filed with the U.S. Securities and Exchange Commission (SEC), which unit investment trusts (UITs) use to register securities they issue. A unit investment trust is a type of investment company that offers a fixed portfolio, generally of stocks and bonds, as redeemable units to
What Is SEC Form S-8? SEC Form S-8 refers to a filing that allows public companies to register securities it offers as part of an employee benefit plan. Companies are required by the Securities and Exchange Commission (SEC) to register these securities before they are issued under the Securities Exchange Act of 1933. The SEC
What Was SEC Form SB-2? The term SEC Form SB-2 was a regulatory filing that was required by the Securities and Exchange Commission (SEC) for small businesses with revenues and public market floats of less than $25 million. The form was used to register securities to be sold for cash. Small businesses were required to
What Is SEC Form T-3? SEC Form T-3 is an application for the qualification of an indenture that must be filed with the Securities and Exchange Commission (SEC). SEC Form T-3 is needed for compliance with the Trust Indenture Act of 1939, which applies to debt securities such as bonds, debentures, and notes that are
What Is Form TA-1? SEC Form TA-1 is a form used to officially apply for or amend registration as a transfer agent. A transfer agent is a trust company, bank, or similar financial institution assigned by a corporation for the purposes of maintaining all of its shareholders’ financial records and tracking each investor’s stock balance. Key
What Was SEC Form U-3A-2? The now-obsolete SEC Form U-3A-2 was required to be filed with the Securities and Exchange Commission (SEC) by any holding company that wanted to buy or merge with a utility company, and thus sought an exemption from the Public Utilities Company Holding Act (PUHCA) of 1935. Key Takeaways Holding companies that
What Is SEC Form U-7D? SEC form U-7D is a document that must be filed when a utility holding company leases a utility facility to an operating public utility company. It is a required filing by the Securities and Exchange Commission (SEC). Key Takeaways SEC Form U-7D must be filed after the execution of any
What is SEC Form X-17A-5 SEC Form X-17A-5 is a financial reporting form that all broker-dealers who are registered with the U.S. Securities and Exchange Commission (SEC) must complete. This form consists of three parts and contains an annual audit that must be performed by a certified public accountant (CPA). Breaking Down SEC Form X-17A-5 SEC Form X-17A-5 must be
