SEC Form F-X

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-8, F-9, F-10 or F-80 under the Securities Act of 1933;
  • registering securities using SEC Form 40-F under the Securities Act of 1933;
  • filing tender offer documents on SEC Forms 13E-4F, 14D-1F or 14D-9F;
  • a Canadian issuer qualifying an offering pursuant to Regulation A; or
  • any foreign issuer using Form CB in connection with a tender offer, rights offering or business combination; or acting as trustee for securities registered using form F-7, F-8, F-9, F-10, F-80

Form F-X is also known as the Appointment of Agent for Service of Process and Undertaking, and is filed under the Securities Act of 1933. This Act, often referred to as the "truth in securities" law, requires that these registration forms, which provide essential facts, be filed in order to disclose important information upon registration of a company's securities. This helps the SEC achieve the Act's objectives: that investors are able to receive significant information regarding securities offered, and to prevent fraud in the sale of the offered securities.


Investment dictionary. . 2012.

Игры ⚽ Поможем сделать НИР

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

Share the article and excerpts

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