Finance

What Is a Secondary Stock? A secondary stock is a public stock listing that is generally considered to be riskier than blue chips because it has a smaller market capitalization. The stock can relate to any type of company, in any industry. The primary definer of a secondary stock is the company’s market cap, with

What Is Second-Lien Debt? The term second-lien debt refers to a form of borrowing that occurs once a first lien is put into place. Put simply, if a borrower defaults, any second-lien debt gets paid after the first or original first lienholder is paid off in the event of bankruptcy of asset liquidation. In other

What Is SEC Form F-8? SEC Form F-8 is a regulatory filing with the Securities and Exchange Commission (SEC) by publicly-traded Canadian issuers to register securities offered in business combinations, mergers, and exchange offers requiring a shareholder vote. SEC Form F-8 may only be used if a circular for a takeover or a business combination is previously prepared. Securities registered

What Is SEC Form F-N? SEC Form F-N is a filing required of foreign banks, insurers, holding companies, and subsidiaries to make public securities offerings in the U.S. The Securities and Exchange Commission (SEC) form is a notification of the appointment of an agent for service by certain foreign institutions. and is part of the F series

What Is SEC Form N-14? SEC Form N-14 is a filing with the Securities and Exchange Commission (SEC) that may be used by all management investment companies and business development companies, as defined under Section 2(a)(48) of the Investment Company Act of 1940, to register certain types of transactions under the Securities Act of 1933.

What Is SEC Form N-14AE? SEC Form N-14AE is no longer used for registration filings to the Securities and Exchange Commission (SEC) regarding open-end funds. This obsolete form was replaced with SEC Form N-14. Key Takeaways The obsolete SEC Form N-14AE has been replaced with SEC Form N-14.Form N-14 is used for required filings regarding open-end

What Is SEC Form N-17D-1? SEC Form N-17D-1 is a form that must be filed with the Securities and Exchange Commission (SEC) by a small business investment company (SBIC) and by a bank that is affiliated with the SBIC. The form must be filed by an SBIC licensed under the Investment Company Act of 1940

What Is SEC Form N-17f-2? SEC Form N-17f-2 is a filing with the Securities and Exchange Commission (SEC) that must be submitted by investment companies that have custody of securities or similar investments. The investment company is required to retain an independent public accountant to verify the company’s securities and similar investments that are held

What Is SEC Form N-18f-1? SEC Form N-18f-1 is a notification form that must be filed with the Securities and Exchange Commission (SEC) if a fund company wishes to take advantage of benefits awarded under SEC Rule 18f-1. Rule 18f-1 allows investment funds to limit their redemptions in kind, which is an exemption from Rule

What Is SEC Form N-1A? SEC Form N-1A is the required registration form for establishing open-end management companies. The form can be used for registering both open-end mutual funds and open-end exchange traded funds (ETFs). Key Takeaways SEC Form N-1A is a regulatory document required to form an open-ended fund manager in the U.S.The form