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)Â 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
What Is SEC Form CB? SEC Form CB is a form that has to be filed with the Securities and Exchange Commission (SEC) when a company is engaged in specified tender offers, rights offerings, or business combinations with a foreign private issuer with less than 10% of its securities held by U.S. persons. A tender
What Is the SEC Form DEF 14A? SEC Form DEF 14A is a filing with the Securities and Exchange Commission (SEC) that must be filed by or on behalf of a registrant when a shareholder vote is required. SEC Form DEF 14A is most commonly used in conjunction with an annual meeting proxy. The form should
What Is SEC Form DEFM14A? SEC Form DEFM14A is a filing with the Securities and Exchange Commission (SEC) that must be filed by or on behalf of a registrant when a shareholder vote is required on an issue related to a merger or acquisition. SEC Form DEFM14A is intended to provide security holders with sufficient
What Is SEC Form F-1? SEC Form F-1 is a filing with the Securities and Exchange Commission (SEC) required for the registration of certain securities by foreign issuers. SEC Form F-1 is required to register securities issued by foreign issuers for which no other specialized form exists or is authorized. Key Takeaways SEC Form F-1
What Is SEC Form F-10? SEC Form F-10 is a form the Securities and Exchange Commission (SEC) requires certain publicly traded Canadian foreign private issuers to complete to register and sell securities in the United States. These issuers must have been subject to continuous disclosure by a Canadian authority over the 12 months preceding the
What Is SEC Form 10-12B? SEC Form 10-12B is a filing required by the Securities and Exchange Commission (SEC) when a public company issues a new stock through a spinoff. The SEC requires parent companies to register the securities to be spun off and to disclose information about the spinoff to its shareholders and the
What Is SEC Form F-3? SEC Form F-3 is a regulatory short form to register securities that is used by foreign private issuers who meet certain criteria. When applicable, this form, also known as the “Registration Statement,” must be filed with the Securities and Exchange Commission (SEC) in accordance with the Securities Act of 1933. Key Takeaways SEC Form
What Is SEC Form F-4? SEC Form F-4 is a filing that the U.S. Securities and Exchange Commission (SEC) requires for the registration of certain securities by foreign issuers. SEC Form F-4 supports the registration of securities involving foreign private issuers in connection with exchange offers and business combinations. Key Takeaways SEC Form F-4 is
