SEC Form 10-KSB405

SEC Form 10-KSB405
A Securities and Exchange Commission (SEC) form similar to the 10-K405 but for small businesses. Both forms were used by the SEC prior to 2003. It was used when a company did not file a Form 4 (or similar 3 or 5) disclosing their insider trading activities on time.

Guidelines for reporting insider trading activity is covered under Section 16 of the Securities Exchange Act. Forms 10-K405 and 10KSB405 were eliminated after it was determined that the use of the forms was inconsistent and unreliable. The form is no longer accepted by the EDGAR system.


Investment dictionary. . 2012.

Игры ⚽ Нужен реферат?

Look at other dictionaries:

  • SEC Form 10-KT405 — An obsolete Securities and Exchange Commission (SEC) form that was submitted in lieu of a 10 K405 when a company changed its fiscal year end. SEC Form 10 KT405, and the 10 K405, were used by the SEC prior to 2003. The form was used when a company …   Investment dictionary

  • SEC Form NT 10-K — A filing with the Securities and Exchange Commission (SEC) that a company must submit when it is unable to file its 10 K, or similar form, on time. After submission of the SEC Form NT 10 K, the company must then file its 10 K within 15 days. The… …   Investment dictionary

Share the article and excerpts

Direct link
… Do a right-click on the link above
and select “Copy Link”