Investment companies and mutual funds must register securities offered before public sale and must provide periodic updates of the information contained in the 💖registration statement.

SEC Form F-N
SEC Form F-N
By
Alice Zhang
Updated Jun 02, 2022
Layers of contemporary financial skyscrapers
SEC Form N-Q: What It Is and how It Works
By
James Chen
Updated Jun 24, 2022
Investment
What Can a Schedule 13D Tell an Investor?
By
Andrew Beattie
Updated Aug 19, 2022
SEC Release IA-1092: What it is, History
By
James Chen
Updated Jan 01, 2022
Fund managers gather around a conference table covered in documents and discuss how to invest in other mutual funds.
Section 12D-1: Meaning, U🧜pdating it, Rescinding it
By
Adam Hayes
Updated Jun 01, 2023
Two business executives meet in the office of an acquired firm to complete SEC documents to suspend reporting requirements.
SEC Form 15-15D: What It is, How It Works
By
Will Kenton
Updated Jun 20, 2022
A business owner sits at their desk and shuffles through SEC paperwork to revoke their registration as a publicly-traded corporation.
SEC Form 15: What it Means, How it Works, Example
By
Will Kenton
Updated Sep 11, 2022
Person sitting at a desk in an office collecting paperwork
SEC Schedule 13E-3: What it Means, How it Works
By
James Chen
Updated Jun 16, 2022
Business person holding a pen and signing a stack of paperwork
Sec Mef Filings: What It Is, How It Works
By
Adam Hayes
Updated Jun 19, 2022
SEC Form 15F
SEC Form 15F
By
The Investopedia Team
Updated Jan 31, 2021
SEC Form 485A24E
SEC Form 485A24E
By
Will Kenton
Updated Jun 27, 2022
SEC Form 10-SB: A filing used to register the securities of small businesses that wanted to trade on U.S. exchanges.
SEC Form 10-SB
By
Will Kenton
Updated Jun 01, 2022
Two business executives look concerned as they shuffle paperwork and use a pad to review information contained on a business report.
SEC Form PX14A6G: What It is, How It Works
By
Will Kenton
Updated Jun 21, 2022
Are Hedge Funds Rওegistered with the Securities and Exchange Commission (SEC)?
By
Andriy Blokhin
Updated Apr 24, 2021
An employee places company summary reports onto the seats of chairs in a conference space in preparation for a meeting.
SEC POS AM Filing: What it is, How it Works
By
James Chen
Updated Jun 14, 2022
Groups of professionally dressed business people talk as they walk across an open plaza that is decorated to look like a globe.
Form F-6EF: 𝓀What It Is, How It Works, How to File It
By
Will Kenton
Updated Jun 22, 2022
business people in a meeting with a laptop in the center
SEC Form BD: What It Is and how It Works
By
James Chen
Updated Jun 22, 2022
Reflections on the windows of an office building
SEC Form 11-K: Meꦯaning, Employers, Reportin🍌g Deadline
By
Adam Hayes
Updated May 31, 2022
The chief executive officer sits at their desk in a nice office and reviews information that will be put up for a vote at the next shareholders meeting.
SEC Form PRE 14C: What It is, How It Works
By
Adam Hayes
Updated Jun 21, 2022
SEC Form DFAN14A
SEC Form DFAN14A: What It is, How It Works
By
Will Kenton
Updated Jun 25, 2022
SEC Form NSAR-A
SEC Form NSAR-A
By
Adam Hayes
Updated Jan 31, 2021
Board members sit at a conference table and disagree about plans to delist and deregister the company.
SEC Form 15-12B: What It is, How It Works
By
Adam Hayes
Updated Jun 20, 2022
A registered financial advisor works with an accountant to review the client assets they hold and invest.
Form ADV-E: What It is, How It Works, FAQs
By
Adam Hayes
Updated Jul 04, 2023
10-K Wrap: What It Is, How It Works, Elements
By
Will Kenton
Updated Jun 01, 2022
SEC Form PRRN14A
SEC Form PRRN14A
By
Will Kenton
Updated Jul 04, 2022
SEC Form U-3A-2
SEC Form U-3A-2
By
Will Kenton
Updated Jun 28, 2022
A board member shows frustration as they push up their glasses and rub their eyes after learning the company will be late filing forms with the Securities and Exchange Commission.
SEC Form 12b-25: What it Means, ⛄How it Works, Benefits
By
Adam Hayes
Updated Jun 01, 2022
A financial officer signs an SEC form to withdraw pending security registration for their company.
Sec Rw Filing: What It Means, H🤡ow It Works, Changes
By
Adam Hayes
Updated Jun 17, 2022
A business attorney advises a client about how to withdraw their registration as a registered investment adviser with the SEC.
SEC Form ADV-W: What It Is, How It Works
By
Caroline Banton
Updated Jun 05, 2022
An accountant uses a calculator as they review documents showing the current portfolio holdings for an exchange traded fund.
SEC Form 24F-2: What It is, How It Works
By
Adam Hayes
Updated Jun 21, 2022
Business building
What Is SEC Form N-PX?
By
James Chen
Updated Aug 06, 2024
An SEC regulator reviews documents they received from a mutual fund issuer who wishes to terminate a class of issued securities.
Sec Form 15-12G: What It Is, How It Works
By
James Chen
Updated Jun 16, 2022
SEC Form 1-U
SEC Form 1-U: What It is and how it Works
By
James Chen
Updated Jun 26, 2022
A registered broker-dealer holds a pen as they flip through paperwork looking for a particular SEC form.
SEC Form X-17A-5: What it Means, How it Works
By
James Chen
Updated Jun 16, 2022
SEC Form U-5S: A form that used to have to be filed annually by every registered public utility holding company.
SEC Form U-5S
By
Will Kenton
Updated Jun 29, 2022
SEC Form N-54C
SEC Form N-54C
By
Will Kenton
Updated Jun 29, 2022
SEC Form ARS
SEC Form ARS: What It Is and how It Works
By
Will Kenton
Updated Oct 31, 2021
SEC Form N-17f-2
SEC Form N-17f-2
By
Adam Hayes
Updated Jun 27, 2022
New York Stock Exchange at 11 Wall Street, Lower Manhattan, New York City
SEC Form 10-12G: What it Means, How it Works
By
Elizabeth Blessing
Updated Jun 15, 2022
Businessperson reviews documents in an office
SEC Form 10-12B: What it Means, How it Works
By
Elizabeth Blessing
Updated Jun 15, 2022
SEC Form 485A24F
SEC Form 485A24F
By
Alice Zhang
Updated Jun 30, 2022
SEC Form 18-12B
SEC Form 18-12B
By
Caroline Banton
Updated Nov 19, 2022
An accountant sits at an office desk reviewing Securities Exchange Commision Form N-2 for the company.
SEC Form N-2: What It is, How It Works, Elements
By
Adam Hayes
Updated Jun 19, 2022
Signing Agreement
SEC Form 19b-4: What It Is, How It Works,ﷺ Examples
By
Adam Hayes
Updated Jun 22, 2022
midsection of a woman filling out forms
Sec Form 18-K: What It Is, How It Works
By
Ali Hussain
Updated Jun 01, 2022
SEC Form U-7D
SEC Form U-7D
By
Adam Hayes
Updated Jun 28, 2022
SEC Form ATS-R
SEC Form ATS-R
By
Katelyn Peters
Updated Jun 28, 2022
SEC Form T-1
SEC Form T-1: What I൲t is, Who can File It, Ho🎐w to File It
By
Troy Segal
Updated Jun 26, 2022
SEC Form 305B2: An electronic filing that allows for a designation of a trustee by a bond issuer on a delayed basis.
SEC Form 305B2
By
Will Kenton
Updated Jun 26, 2022
SEC Form 18: A filing that foreign governments and their subdivisions must submit to issue a new security for sale in the United States.
SEC Form 18
By
Mark Jahn
Updated Nov 18, 2022
SEC Form CB
SEC Form CB
By
Alice Zhang
Updated Jun 01, 2022
SEC Form 10-D
SEC Form 10-D: What It is, Benefits, Criticism
By
Mark Jahn
Updated Jun 01, 2022
SEC Form N-18f-1
SEC Form N-18f-1
By
Will Kenton
Updated Jun 27, 2022
SEC Form N-17D-1
SEC Form N-17D-1
By
Adam Hayes
Updated Jul 04, 2022