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
What Is the SEC Form 6-K? The SEC Form 6-K is a form that foreign private issuers of securities are required to submit, pursuant to stated rules in the Securities Exchange Act of 1934. The Form 6-K, or “Report of Foreign Private Issuer Pursuant to Rules 13a-16 and 15d-16,” is administrated by the Securities and Exchange
What Is SEC Form 8-A? SEC Form 8-A is required by the Securities and Exchange Commission (SEC) from companies seeking to register securities. It must be submitted before securities can be offered on an exchange. It is also known as the Registration of Certain Classes of Securities and the short-form registration statement. Form 8-A is
What Is SEC Form 8-K12G3? Securities Exchange Commission (SEC) Form 8-K12G3 is a special form that is used for the filing and notification of a successor issuer. It is typically filed when a merger or acquisition results in a new issuer of a registered security. SEC Form 8-K12G3 is needed pursuant to Section 12 of the Securities
What Is Form ADV-E? The term Form ADV-E refers to an electronic form investments advisers use in order to register with the Securities and Exchange Commission (SEC) and with authorities in their home states. The form is required by the SEC and the Financial Industry Regulatory Authority (FINRA). An electronic version of Form ADV, Form
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) 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
