Description: Notification of the removal from listing and registration of matured, redeemed or retired securities PDF. Last Updated: March Number: 3. Description: Initial statement of beneficial ownership of securities PDF. Number: 4. Description: Statement of changes in beneficial ownership of securities PDF. Number: 5. Description: Annual statement of changes in beneficial ownership of securities PDF.
Number: 6-K. Number: 7-M. Number: 8-A. Number: 8-K. Number: 8-M. Number: 9-M. Number: ABSG. Number: ADV. Number: ADV-E. Description: Certificate of accounting of client securities and funds in the possession or custody of an investment adviser PDF.
Number: ADV-H. Description: Application for a temporary or continuing hardship exemption PDF. Description: Appointment of agent for service of process by non-resident general partner and non-resident managing agent of an investment adviser PDF. Number: ADV-W. Description: Notice of withdrawal from registration as investment adviser PDF.
Number: ATS. Description: Initial operation report, amendment to initial operation report and cessation of operations report for alternative trading systems PDF. Topic s : Alternative Trading Systems. Number: ATS-N. Number: ATS-R. Description: Quarterly report of alternative trading systems activities PDF. Number: BD. Description: Uniform application for broker-dealer registration PDF. Number: BD-N. Description: Notice of registration as a broker-dealer for the purpose of trading security futures products pursuant to Section 15 b 11 of the Securities Exchange Act of PDF.
Number: BDW. Description: Uniform request for broker-dealer withdrawal PDF. Number: C. Number: CA Description: Registration or exemption from registration as a clearing agency and for amendment to registration PDF. Topic s : Clearing Agencies. Number: CB. Number: CRS. Description: Notice of Exempt Offering of Securities. Number: F Description: Registration statement for securities of certain foreign private issuers PDF.
Topic s : Securities Act of , International. Description: Registration statement for securities of certain foreign private issuers issued in certain business combination transactions PDF. Description: Registration statement under the Securities Act of for depositary shares evidenced by American depositary receipts PDF. Description: Registration statement under the Securities Act of for securities of certain Canadian issuers offered for cash upon the exercise of rights granted to existing security holders PDF.
Description: Registration statement under the Securities Act of for securities of certain Canadian issuers to be issued in exchange offers or a business combination PDF. Description: Registration statement for securities of certain Canadian issuers to be issued in exchange offers or a business combination PDF.
Number: F-N. Description: Appointment of agent for service of process by foreign banks and foreign insurance companies PDF. Number: F-X. Description: Appointment of agent for service of process and undertaking PDF. Number: ID. Number: MA. Number: MA-I. Number: MA-NR. Description: Designation of U. Number: MA-W. Number: MSD. The primary sections of the proxy statement contain information about the following: --The structure and pay of the board of directors; --The items that will be voted on at the annual meeting; and, --The compensation for the executives.
The S-1 is used in an initial public offering. This statement is similar to the S-3, except that it is only used for the first time that the company wants to sell registered shares or debt as a publicly traded company registered with the SEC.
The S-8 is used to register securities for an employee stock option plan. Most publicly traded companies will offer stock options or restricted stock units to its employees and board of directors. In order for the recipients of these options or units to be able to sell the underlying shares upon exercise, the shares must be registered.
Patrick Truesdell. Founder, Public Company Community linkedin. Tags Financial reporting Financial regulations. Donor-advised funds increased their donations to charities last year in response to the COVID pandemic, hitting the biggest levels in over a decade.
By Michael Cohn. Xero acquires inventory mgmt. Even if a company is not required to register its securities with the SEC, it may be required to register them with your state. You should contact your state securities regulator to find out whether they have information about a company and the people behind it. Your regulator will tell you whether the company has been legally cleared to sell securities in your state.
From other government regulators. Many companies, such as banks, do not have to file reports with the SEC. But banks must file updated financial information with their banking regulators. From reference books and commercial databases.
Visit the websites of your local public library or the nearest law or business school library. You'll find many reference materials containing information about companies. You can also access commercial databases for more information about the company's history, management, products or services, revenues, and credit ratings.
Learn more. Test your knowledge on common investing terms and strategies and current investing topics. Learn about investing risks in certain companies that provide exposure to China-based businesses. Are you prepared for your financial future? Use this checklist to get started. Please enter some keywords to search. Breadcrumb Home Introduction to Investing Glossary. Registration and Filing Requirements Many companies that sell their securities to the public register those securities under the Securities Act of
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