Many of the rules and regulations that public companies must follow were laid out in the Securities Act of 1933 and the Securities Exchange Act of 1934.
Investment dictionary. Academic. 2012.
SEC Form S-3 — A simplified security registration form from the SEC, open to use by companies that have met prior reporting requirements. The Form S 3 registers securities under the Securities Act of 1933 for companies that are based in the United States only.… … Investment dictionary
SEC MEF Filings — SEC filings that concern registration of up to an additional 20% of securities for an offering, pursuant to the 1933 Securities Act Rule 462(b). SEC MEF Filings may apply to 1933 Act registration forms S 1, S 2, S 3, S 11, SB 1, SB 2, F 1, F 2… … Investment dictionary
SEC filing — An SEC filing is a financial statement or other formal document submitted to the U.S. Securities and Exchange Commission (SEC). Public companies and certain insiders are required to make regular SEC filings. Investors and financial professionals… … Wikipedia
SEC Form 12b-25 — A filing with the Securities and Exchange Commission (SEC), also known as the Notification of Late Filing. It is used when a company anticipates that other key filings will not be completed by their deadlines. By filing Form 12b 25 in a timely… … Investment dictionary
SEC Form 10SB12B — A filing with the Securities and Exchange Commission (SEC), also known as the Initial Registration of Securities for a Small Business Form , used to register new securities that will be available for public investment. The same general security… … Investment dictionary
SEC Form 15 — A filing with the Securities and Exchange Commission (SEC), also known as the Certification and Notice of Termination of Registration. It is used by publicly traded companies to revoke the registration of their securities. SEC Form 15 may also be … Investment dictionary
SEC Form 15F — A filing with the Securities and Exchange Commission (SEC), also known as the Certification of a Foreign Private Issuer s and Termination of Registration. It is used by private foreign companies to revoke the registration of their securities… … 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 U-12-IA — A filing with the Securities and Exchange Commission (SEC) that was was required under the Public Utility Holding Company Act of 1935. The form had to contain information on the registered holding company systems involved, information about the… … Investment dictionary
SEC Form F-9 — 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
