SEC Form 11-K

SEC Form 11-K
A form filed with the Securities and Exchange Commission (SEC). Used for annual reports, this form deals with employee stock purchases and savings plans with interests in securities registered under the Securities Act of 1933. A Form 11-K is required as a special annual report in addition to other annual reports (e.g. SEC Form 10-K) that may be filed by the security issuer.

Form 11-K is also known as the Annual Reports of Employee Stock Purchase, Savings, and Similar Plans Pursuant to Section 15(d) of the Securities Exchange Act of 1934. The Securities Exchange Act of 1934 set forth requirements for the exchanges and broker-dealers in order to protect the investing public. These include registration, disclosure, proxy solicitations, and margin and audit requirements.

Related filings: SEC Form 10-K.


Investment dictionary. . 2012.

Игры ⚽ Поможем написать курсовую

Look at other dictionaries:

  • SEC Form 10 — A filing with the Securities and Exchange Commission (SEC), also known as the General Form for Registration of Securities. It is used to register a variety of securities for trading on U.S. exchanges. Information on SEC Form 10 includes the type… …   Investment dictionary

  • SEC Form F-10 — A filing with the Securities and Exchange Commission (SEC) that publicly traded Canadian foreign private issuers are required to use. These issuers must have been subject to continuous disclosure by a Canadian authority over the 12 months… …   Investment dictionary

  • SEC Form F-7 — A filing with the Securities and Exchange Commission (SEC) that publicly traded Canadian foreign private issuers are required to use. These issuers must have had a class of its securities listed on a Canadian exchange for the 12… …   Investment dictionary

  • SEC Form S-2 — A form from the Securities and Exchange Commission (SEC) that served as a simplified registration for the offering of new securities. Only companies that have been reporting to the SEC under the 1934 Act for at least three years without… …   Investment dictionary

  • SEC Form 18-K — A filing with the Securities and Exchange Commission (SEC), more commonly known as the Annual Report for Foreign Governments and Political Subdivisions. It is used to update the SEC and investors regarding the status of a domestically traded… …   Investment dictionary

  • SEC Form 10-QT — An SEC form used when there is a presentation of transitional periods rather than the standard three month period covered by a traditional 10 Q. SEC Form 10 QT is typically filed subsequent to an 8 K filing notifying the SEC of a change of fiscal …   Investment dictionary

  • SEC Form 10-SB — A filing with the Securities and Exchange Commission (SEC), also known as the General Form for Registration of Securities for Small Businesses. It is used to register the securities of small businesses that wish to trade on U.S. exchanges.… …   Investment dictionary

  • SEC Form 18 — A filing with the Securities and Exchange Commission (SEC), more commonly known as the Application for Registration of Foreign Governments and Political Subdivisions. It is mandated for foreign governments wishing to issue a new security for sale …   Investment dictionary

  • SEC Form 40-F — A filing with the Securities and Exchange Commission (SEC), also known as the Registration and Annual Report for Canadian Securities Form. It is used by Canadian companies wishing to offer their securities to U.S. investors. In addition to the… …   Investment dictionary

  • SEC Form F-N — A filing with the Securities and Exchange Commission (SEC) required by foreign issuers to appoint an agent for making a public offering in the United States. SEC Form F N must be filed by foreign banks, insurance companies and their… …   Investment dictionary

  • SEC Form F-X — A filing with the Securities and Exchange Commission (SEC) that requires an issuer that is doing one of the following to appoint an agent that may be served processes, pleadings, subpoenas or other papers: registering securities using SEC Forms F …   Investment dictionary

Share the article and excerpts

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