Group Descriptions
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INVESTORS
Registration Statement
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| Type: | 1-A |
|---|---|
| Description: | Offering Statement filed in regional offices (OCC) (Private Placement or Limited Offering) |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933, Regulation A |
| Type: | 1-A/A |
| Description: | Amendment to Offering Statement at OCC (Private Placement or Limited Offering). |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933, Regulation A |
| Type: | 1-E |
| Description: | Notification under Regulation E. This form is used by small business investment companies and business development companies to notify the SEC when making an offering of securities pursuant to Regulation E. |
| Filing Deadline: | |
| Relevant Legislation: | Regulation E of the Investment Company Act of 1940. |
| Type: | 1-E/A |
| Description: | Amendment to a Notification under Regulation E. This form is used by small business investment companies and business development companies to notify the SEC when making an offering of securities pursuant to Regulation E. |
| Filing Deadline: | |
| Relevant Legislation: | Regulation E of the Investment Company Act of 1940. |
| Type: | 10 |
| Description: | Registration Statement: General Form for registration of securities of classes of securities for which no other form is prescribed. It requires certain business and financial information about the issuer. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Exchange Act of 1934 Section 12(b) or (g) |
| Type: | 10-12B |
| Description: | Registration Statement: Used to register securities. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Exchange Act of 1934 Section 12(b) or (g) |
| Type: | 10-12B/A |
| Description: | Amended Registration Statement: Filed as any change is made or additional information is provided to an already filed 10-12B. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Exchange Act of 1934 Section 12(g) or (b) |
| Type: | 10-12G |
| Description: | Registration Statement: Used to register Securities |
| Filing Deadline: | |
| Relevant Legislation: | Securities Exchange Act of 1934 Section 12(g) |
| Type: | 10-12G/A |
| Description: | Amended Registration Statement: Filed as any change is made or additional information is provided to an already filed Form 10-12G. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Exchange Act of 1934 Section 12(g) |
| Type: | 10-D |
| Description: | Form 10-D is used by asset-backed issuers subject to Rule 13a-1 to report distributions. |
| Filing Deadline: | Reports on this Form shall be filed within 15 days after each required distribution date on the asset-backed securities, as specified in the governing documents for such securities. |
| Relevant Legislation: | Pursuant to section 12 or 15(d) of the Securities Exchange Act of 1934. |
| Type: | 10-D/A |
| Description: | Amendment to the Form 10-D, reports of asset-backed issuers. |
| Filing Deadline: | |
| Relevant Legislation: | Pursuant to section 12 or 15(d) of the Securities Exchange Act of 1934. |
| Type: | 10-SB |
| Description: | General Form for Registration of Securities: Filed by small business issuers. Requires slightly less detailed information than a Form 10. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Exchange Act of 1934 Sections 12(g) or 12(b) |
| Type: | 10-SB/A |
| Description: | Amendment to General Form of Registration filed by small business issuers. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Exchange Act of 1934 Sections 12(b) or 12(g) |
| Type: | 10/A |
| Description: | Amendment to Securities Registration Statement filed on Form 10. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Exchange Act of 1934 Sections 12(b) or (g) |
| Type: | 10SB12B |
| Description: | Securities Registration Statememt for Small Business Issuers |
| Filing Deadline: | |
| Relevant Legislation: | Securities Exchange Act of 1934 Section 12(b) |
| Type: | 10SB12B/A |
| Description: | Amendment to Securities Registration Statement on Form 10SB12B filed by small business issuers. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Exchange Act of 1934 Section 12(b) |
| Type: | 10SB12G |
| Description: | Securities Registration Statement for Small Business Issuers |
| Filing Deadline: | |
| Relevant Legislation: | Securities Exchange Act of 1934 Section 12(g) |
| Type: | 10SB12G/A |
| Description: | Amendment to Securities Registration Statement on Form 10SB12G filed by small business issuers. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Exchange Act of 1934 Section 12(g) |
| Type: | 2-A |
| Description: | Report of sales and use of proceeds pursuant to Rule 257 of Regulation A |
| Filing Deadline: | The issuer and/or each selling security holder shall file seven copies of a report concerning sales and use of proceeds on Form 2-A or other prescribed form every six months after the qualification of the offering statement or any amendment until substantially all the proceeds have been applied and within 30 calendar days after the termination, completion or final sale of securities in the offering, or the application of the proceeds from the offering, whichever is the latest event. This report should be labeled the final report. |
| Relevant Legislation: | Pursuant to Rule 257 of Regulation A of the Securities Act of 1933. |
| Type: | 2-A/A |
| Description: | Amendment to the report of sales and use of proceeds pursuant to Rule 257 of Regulation A |
| Filing Deadline: | |
| Relevant Legislation: | Pursuant to Rule 257 of Regulation A of the Securities Act of 1933. |
| Type: | 2-E |
| Description: | Notification under Regulation E. This form is used by small business investment companies and business development companies that has engaged in a limited offering of its securities to report semiannually to the SEC on the progress of the offering, including the number of shares sold. |
| Filing Deadline: | |
| Relevant Legislation: | Report pursuant to Rule 609 of Regulation E of the Investment Company Act of 1940. |
| Type: | 20FR12B |
| Description: | Registration of securities pursuant to section 12(b), initial filing. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Exchange Act of 1934 Section 12(b). |
| Type: | 20FR12B/A |
| Description: | Registration of securities pursuant to section 12(b), amendment. |
| Filing Deadline: | No filing deadline. |
| Relevant Legislation: | Securities Exchange Act of 1934, Section 12(b). |
| Type: | 20FR12G |
| Description: | Registration of securities pursuant to section 12(g), initial filing. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Exchange Act of 1934, Section 12(g). |
| Type: | 20FR12G/A |
| Description: | Registration of securities pursuant to section 12(g), amendment. |
| Filing Deadline: | No filing deadline. |
| Relevant Legislation: | Securities Exchange Act of 1934, Section 12(g). |
| Type: | 40-17F2 |
| Description: | Investment Company Form: Certificate of accounting of securities and similar investments in the custoday of management investment companies. |
| Filing Deadline: | |
| Relevant Legislation: | |
| Type: | 40FR12B |
| Description: | Registration statement pursuant to section 12 of the Securities Exchange Act of 1934 or Annual Report pursuant to section 13(a) or 15(d) of the Securities Exchange Act of 1934. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Exchange Act of 1934 |
| Type: | 40FR12B/A |
| Description: | Registration of a class of securities of certain Canadian issuers pursuant to Section 12 of the 1934 Act or Annual Report pursuant to section 13(a) or 15(d) of the 1934 Act, amendment. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Exchange Act of 1934 |
| Type: | 40FR12G |
| Description: | Registration of a class of securities of certain Canadian issuers pursuant to Section 12 of the 1934 Act or Annual Report pursuant to section 13(a) or 15(d) of the 1934 Act. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Exchange Act of 1934. |
| Type: | 40FR12G/A |
| Description: | Registration of a class of securities of certain Canadian issuers pursuant to Section 12 of the 1934 Act or Annual Report pursuant to section 13(a) or 15(d) of the 1934 Act, amendment. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Exchange Act of 1934 |
| Type: | 8-A |
| Description: | Optional Securities Registration Statement: Requires that the issuer describe the type of securities it wishes to register. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Exchange Act of 1934 |
| Type: | 8-A12B |
| Description: | Registration of Securities: Provides descriptions of certain classes of securities. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Exchange Act of 1934 Section 12(b) |
| Type: | 8-A12B/A |
| Description: | Amendment to Registration of Securities: Filed as any change is made or additional information is provided to an already filed Form 8-A12B. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Exchange Act of 1934 Section 12(b) |
| Type: | 8-A12G |
| Description: | Registration of Securities: Provides descriptions of certain classes of securities. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Exchange Act of 1934 Section 12(g) |
| Type: | 8-A12G/A |
| Description: | Amendment to Registration of Securities: Filed as any change is made or additional information is provided to an already filed Form 8-A12G. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Exchange Act of 1934 Section 12(g) |
| Type: | 8-B |
| Description: | Specialized Registration Form: May be used by certain issuers with no securities registered under the 1934 Act that succeed to another issuer which had securities so registered at the time of succession. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1934 |
| Type: | 8-B12B |
| Description: | Registration Statement: Registration of securities of certain successor issuers. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Exchange Act of 1934 Section 12(b) |
| Type: | 8-B12B/A |
| Description: | Amendment to Registration Statement: Filed as any change is made or additional information is provided to an already filed Form 8-A12B. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Exchange Act of 1934 Section 12(b) |
| Type: | 8-B12G |
| Description: | Registration Statement: Registration of securities of certain successor issuers. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Exchange Act of 1934 Section 12(g) |
| Type: | 8-B12G/A |
| Description: | Amendment to Registration Statement: Filed as any change is made or additional information is provided to an already filed Form 8-A12G. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Exchange Act of 1934 Section 12(g) |
| Type: | 8A12BEF |
| Description: | Registration Statement: Registration of securities of certain successor issuers. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Exchange Act of 1934 Section 12(b) |
| Type: | 8A12BT |
| Description: | Registration Statement: Registration of listed debt securities. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Exchange Act of 1934 Section 12(b) |
| Type: | 8A12BT/A |
| Description: | Amendment to Registration Statement on Form 8A12BT: Filed as any change is made or additional information is provided to an already filed Form 8-A12BT. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Exchange Act of 1934 Section 12(b) |
| Type: | Appraisal |
| Description: | Independent Appraisal: Pro forma market valuation report |
| Filing Deadline: | |
| Relevant Legislation: | 12 C.F.R. |
| Type: | AW |
| Description: | Amendment Withdrawal Request: Filed for registration statement withdrawals and amendments. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 Rule 477 |
| Type: | AW WD |
| Description: | Withdrawal of an amendment registration withdrawal request. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933. |
| Type: | Basel 2 P3 |
| Description: | Basel II Pillar 3 reports provide information on a company's implementation of the Basel II framework and risk assessment processes in accordance with the Pillar 3 requirements. |
| Filing Deadline: | |
| Relevant Legislation: | |
| Type: | Basel Report |
| Description: | Basel Report provide information on company's implementation of the Basel framework and risk assessment processes in accordance with the Pillar requirements. |
| Filing Deadline: | |
| Relevant Legislation: | |
| Type: | D |
| Description: | Notice of sale of securities when invoking a Regulation D exemption from the registration requirements of the federal securities laws when the company offers and sells a security. |
| Filing Deadline: | A notice must be filed no later than 15 days after the first sale of securities in the offering. |
| Relevant Legislation: | Notice of sale of securities pursuant to Regulation D, Section 4(6) of the Securities Act of 1933, and/or uniform limited offering exemption. |
| Type: | D/A |
| Description: | Amendment to a notice of sale of securities when invoking a Regulation D exemption from the registration requirements of the federal securities laws when the company offers and sells a security. |
| Filing Deadline: | None |
| Relevant Legislation: | Notice of sale of securities pursuant to Regulation D, Section 4(6) of the Securities Act of 1933, and/or uniform limited offering exemption. |
| Type: | DEL AM |
| Description: | Used in the filing of certain delaying amendments to Securities Act registration statements. |
| Filing Deadline: | |
| Relevant Legislation: | |
| Type: | DNP Basel2P3 |
| Description: | Don't Publish - Basel II Pillar 3 reports provide information on a company's implementation of the Basel II framework and risk assessment processes in accordance with the Pillar 3 requirements. |
| Filing Deadline: | |
| Relevant Legislation: | |
| Type: | DNP PFMI |
| Description: | Don't Publish - Principal for Financial Market Infrastructure Disclosure documents are usually published in .pdf and .xls format. These disclosures pertain to standards set by regulators with regards to internal risk management, authority framework, structures & responsibilities, etc. The basic objectives of these standard disclosures is to help harmonize reporting along risk mitigations. |
| Filing Deadline: | |
| Relevant Legislation: | On April 2012, the Committee on Payments and Market Infrastructures (CPMI) and the International Organization of Securities Commissions (IOSCO) issued the Principles for financial market infrastructures (PFMI). In line with the G20's expectations, CPMI and IOSCO members have undertaken to incorporate the 24 principles (the Principles) and the five responsibilities (the Responsibilities) included in the PFMI in their legal and regulatory frameworks. Implementing the PFMI is a comprehensive and large-scale undertaking that spans several different types of FMI and, typically, multiple regulators within a single jurisdiction. |
| Type: | DNP SFCR |
| Description: | Don't Publish - Solvency and Financial Conditions Report: regulatory disclosure for European insurance companies under Solvency II |
| Filing Deadline: | |
| Relevant Legislation: | |
| Type: | DOS |
| Description: | Non-public draft offering statement under Regulation A. |
| Filing Deadline: | |
| Relevant Legislation: | |
| Type: | DOS/A |
| Description: | Non-public draft pre-qualification amendment for offering statement under Regulation A. |
| Filing Deadline: | |
| Relevant Legislation: | |
| Type: | DRS |
| Description: | Draft registration statement submitted by Emerging Growth Company under Securities Act Section 6(e) or by Foreign Private Issuer under Division of Corporation Finance policy. |
| Filing Deadline: | |
| Relevant Legislation: | |
| Type: | DRS/A |
| Description: | Amended Draft Registration Statement submitted by Emerging Growth Company under Securities Act Section 6(e) or by Foreign Private Issuer under Division of Corporation Finance policy. |
| Filing Deadline: | |
| Relevant Legislation: | |
| Type: | EFFECT |
| Description: | Notice of Effectiveness of previously filed registration statement. |
| Filing Deadline: | |
| Relevant Legislation: | |
| Type: | F-1 |
| Description: | Registration Statement: Used for the registration of securities by foreign private issuers. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | F-1/A |
| Description: | Pre-Effective amendment to Registration Statement: Used for the registration of securities by foreign private issuers. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | F-10 |
| Description: | Registration Statement: May be used by eligible large publicly traded Canadian foreign private issuers to register any securities (except certain derivative securities). Acts as a wraparound for the relevant Canadian offering documents. Requires the Canadian issuer to reconcile its financial statements to U.S. Generally Accepted Accounting Principles (GAAP). |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | F-10 EF |
| Description: | Registration statement for securities of certain Canadian issuers under the Securities Act of 1933, automatically effective |
| Filing Deadline: | |
| Relevant Legislation: | |
| Type: | F-10 POS |
| Description: | Registration statement for securities of certain Canadian issuers under the Securities Act of 1933, post-effective amendment. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | F-10/A |
| Description: | Amendment to Registration Statement: May be used by eligible large publicly traded Canadian foreign private issuers to register any securities (except certain derivative securities). Acts as a wraparound for the relevant Canadian offering documents. Requires the Canadian issuer to reconcile its financial statements to U.S. Generally Accepted Accounting Principles (GAAP). |
| Filing Deadline: | N/A |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | F-10POS |
| Description: | Registration statement for securities of certain Canadian issuers under the Securities Act of 1933, post-effective amendment. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | F-1MEF |
| Description: | Registration Statement: Used for the registration of securities by foreign private issuers. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933. |
| Type: | F-2D |
| Description: | Registration of securities pursuant to dividend or interest re-investment plans, initial statement. |
| Filing Deadline: | No filing deadline. |
| Relevant Legislation: | |
| Type: | F-2D POS |
| Description: | Post-effective amendment to a registration of securities pursuant to dividend or interest re-investment plans. |
| Filing Deadline: | |
| Relevant Legislation: | |
| Type: | F-2MEF |
| Description: | Additional registration, Form F-2, under rule 462(b) of the 1933 Act. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933, |
| Type: | F-3 |
| Description: | Registration statement for securities of certain foreign private issuers |
| Filing Deadline: | A minimum of one year reporting under the '34 Act |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | F-3/A |
| Description: | Amendment to Registration Statement on Form F-3: Filed as corrections or additions have been made to an initial F-3 or a previously amended Form F-3/A. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | F-3ASR |
| Description: | The F-3ASR is an automatic shelf registration statement which is immediately effective upon filing used by certain foreign issuers that have reported under the '34 Act for a minimum of twelve months and that have a worldwide public market. (S-3ASR equivalent) |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | F-3ASR/A |
| Description: | Amendment to Automatic Shelf Registration Statement on Form F-3ASR: Filed as corrections or additions have been made to an initial F-3ASR or a previously amended Form F-3ASR/A. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | F-3D |
| Description: | Registration of securities pursuant to dividend or interest reinvestment plans. |
| Filing Deadline: | |
| Relevant Legislation: | |
| Type: | F-3D POS |
| Description: | Registration of securities pursuant to dividend or interest reinvestment plans, post-effective amendment |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933. |
| Type: | F-3MEF |
| Description: | Additional registration, Form F-3, under rule 462(b) of the 1933 Act. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | F-4 |
| Description: | Registration Statement: Used to register securities in connection with business combinations and exchange offers involving foreign private issuers. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | F-4 EF |
| Description: | Auto effective registration statement for securities by certain foreign private issuers in connection with certain business combination transactions, initial statement |
| Filing Deadline: | No filing deadline. |
| Relevant Legislation: | Securities Act of 1933. |
| Type: | F-4 EF/A |
| Description: | Auto effective registration statement for securities by certain foreign private issuers in connection with certain business combination transactions, amendment |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | F-4 POS |
| Description: | Auto effective registration statement for securities by certain foreign private issuers in connection with certain business combination transactions, post-effective amendment |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | F-4/A |
| Description: | 1933 Act Registration Statement: certain business combinations and exchange offers involving foreign private issuers (S-4 equivalent) |
| Filing Deadline: | |
| Relevant Legislation: | |
| Type: | F-4MEF |
| Description: | Additional registration, Form F-4, under rule 462(b) of the 1933 Act. |
| Filing Deadline: | |
| Relevant Legislation: | |
| Type: | F-6 |
| Description: | Registration statement for American Depositary Receipt shares that is not automatically effective upon filing. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | F-6 POS |
| Description: | Filing to become effective immediately upon filing, post-effective amendment |
| Filing Deadline: | |
| Relevant Legislation: | |
| Type: | F-6/A |
| Description: | Amendment to a registration statement for American Depositary Receipt shares. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933. |
| Type: | F-6EF |
| Description: | Auto effective registration statement for American Depositary Receipts representing securities of certain foreign private issuers. |
| Filing Deadline: | |
| Relevant Legislation: | |
| Type: | F-7 |
| Description: | Registration statement for securities of certain Canadian issuers offered for cash upon the exercise of rights granted to existing security holders. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | F-7 POS |
| Description: | Registration statement for securities of certain Canadian issuers offered for cash upon the exercise of rights granted to existing security holders under the Securities Act of 1933, post-effective amendment. |
| Filing Deadline: | No filing deadline. |
| Relevant Legislation: | Securities Act of 1933. |
| Type: | F-7/A |
| Description: | Registration statement for securities of certain Canadian issuers offered for cash upon the exercise of rights granted to existing security holders under the Securities Act of 1933, amendment. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | F-8 |
| Description: | Registration statement used by eligible large publicly-traded Canadian foreign private issuers to register securities offered in business combinations and exchange offers. Form F-8 acts as a wraparound for the relevant Canadian offering or disclosure documents. The securities must be offered to U.S. holders on terms no less favorable than those extended to other holders. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | F-8 POS |
| Description: | Registration statement for securities of certain Canadian issuers to be issued in exchange offers or a business combination under the Securities Act of 1933, post-effective amendment |
| Filing Deadline: | |
| Relevant Legislation: | Seecurities Act of 1933. |
| Type: | F-8/A |
| Description: | Amended registration statement used by eligible large publicly-traded Canadian foreign private issuers to register securities offered in business combinations and exchange offers. Form F-8 acts as a wraparound for the relevant Canadian offering or disclosure documents. The securities must be offered to U.S. holders on terms no less favorable than those extended to other holders. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | F-80 |
| Description: | Registration of securities of certain Canadian issuers to be issued in exchange offers or a business combination under the Securities Act of 1933, initial statement |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | F-80 POS |
| Description: | Registration of securities of certain Canadian issuers to be issued in exchange offers or a business combination under the Securities Act of 1933, post-effective amendment. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | F-80/A |
| Description: | Registration of securities of certain Canadian issuers to be issued in exchange offers or a business combination under the Securities Act of 1933, amendment. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933. |
| Type: | F-9 |
| Description: | Registration of securities of certain investment grade debt or investment grade preferred securities of certain Canadian issuers under the Securities Act of 1933, initial statement. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | F-9 EF |
| Description: | Registration of securities of certain investment grade debt or investment grade preferred securities of certain Canadian issuers under the Securities Act of 1933, automatically effective |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | F-9 POS |
| Description: | Registration of securities of certain investment grade debt or investment grade preferred securities of certain Canadian issuers under the Securities Act of 1933, post-effective amendment. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | F-9/A |
| Description: | Registration of securities of certain investment grade debt or investment grade preferred securities of certain Canadian issuers under the Securities Act of 1933, amendment. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | Form D |
| Description: | Notice of sale of securities when invoking a Regulation D exemption from the registration requirements of the federal securities laws when the company offers and sells a security. |
| Filing Deadline: | A notice must be filed no later than 15 days after the first sale of securities in the offering. |
| Relevant Legislation: | Notice of sale of securities pursuant to Regulation D, Section 4(6) of the Securities Act of 1933, and/or uniform limited offering exemption. |
| Type: | Form D/A |
| Description: | Amendment to a notice of sale of securities when invoking a Regulation D exemption from the registration requirements of the federal securities laws when the company offers and sells a security. |
| Filing Deadline: | None |
| Relevant Legislation: | Notice of sale of securities pursuant to Regulation D, Section 4(6) of the Securities Act of 1933, and/or uniform limited offering exemption. |
| Type: | PFMI |
| Description: | Principal for Financial Market Infrastructure Disclosure documents are usually published in .pdf and .xls format. These disclosures pertain to standards set by regulators with regards to internal risk management, authority framework, structures & responsibilities, etc. The basic objectives of these standard disclosures is to help harmonize reporting along risk mitigations. |
| Filing Deadline: | |
| Relevant Legislation: | On April 2012, the Committee on Payments and Market Infrastructures (CPMI) and the International Organization of Securities Commissions (IOSCO) issued the Principles for financial market infrastructures (PFMI). In line with the G20's expectations, CPMI and IOSCO members have undertaken to incorporate the 24 principles (the Principles) and the five responsibilities (the Responsibilities) included in the PFMI in their legal and regulatory frameworks. Implementing the PFMI is a comprehensive and large-scale undertaking that spans several different types of FMI and, typically, multiple regulators within a single jurisdiction. |
| Type: | POS AM |
| Description: | Post-effective Amendment to Registration Statement: Provides updated prospectus information |
| Filing Deadline: | |
| Relevant Legislation: | |
| Type: | POS AMC |
| Description: | Post-effective amendment to Form U-1: Initial application or declaration. |
| Filing Deadline: | |
| Relevant Legislation: | Public Utility Holding Company Act of 1935 |
| Type: | POS EX |
| Description: | Post-effective amendment filed solely to add an exhibit |
| Filing Deadline: | |
| Relevant Legislation: | |
| Type: | POS462B |
| Description: | Post-effective amendment to Securities Act Rule 462(b) registration statement |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 Rule 462(b) |
| Type: | POS462C |
| Description: | Post-effective amendment to Securities Act Rule 462(c) registration statement |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 Rule 462(c) |
| Type: | POSASR |
| Description: | Post-effective Amendment to an Automatic Shelf Registration Statement Provides updated prospectus information |
| Filing Deadline: | |
| Relevant Legislation: | |
| Type: | RW |
| Description: | Registration Withdrawal Request: Suitable only for registration statement withdrawals and amendments with the SEC |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933. |
| Type: | RW WD |
| Description: | Withdrawal of a Registration Withdrawal Request. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | S-1 |
| Description: | 1933 Act Registration Statement: IPOs and inexperienced issuers. Can also be used to register securities for which no other form is authorized or prescribed, except securities of foreign governments or political sub-divisions thereof. |
| Filing Deadline: | No filing deadline. |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | S-1/A |
| Description: | Amendment to 1933 Act Registration Statement: IPOs and inexperienced issuers. Filed as any change is made or additional information is provided to an already filed Form S-1. Usually filed after SEC staff attorneys have reviewed the original Form S-1 and requested additional information. |
| Filing Deadline: | No filing deadline. |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | S-11 |
| Description: | 1933 Act Registration Statement: Filed by REITs to register shares. Can also be filed by any real estate investing company. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | S-11/A |
| Description: | Amendment to 1933 Act Registration Statement: Filed by REITs or any real estate investing company as any changes are made or additional information is provided to an already filed Form S-11. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | S-11MEF |
| Description: | Registration Statement: A new registration statement filed under Rule 462(b) to add securities to a prior related registration statement filed on Form S-11. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 Rule 462(b) |
| Type: | S-1MEF |
| Description: | Registration Statement: A new registration statement filed under Rule 462(b) to add securities to a prior related registration statement filed on Form S-1. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 Rule 462(b) |
| Type: | S-2 |
| Description: | 1933 Act Registration Statement: A simplified optional registration form that may be used by companies that have been required to report under the '34 Act for a minimum of three years and have timely filed all required reports during the 12 calendar months and any portion of the month immediately preceeding the filing of the registration statement. Unlike Form S-1, it permits incorporation by reference from the company's annual report to shareholders (or annual report on Form 10-K) and periodic reports. Delivery of these incorporated documents as well as the prospectus to investors may be required. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | S-2/A |
| Description: | Amendment to 1933 Act Registration Statement: Filed as any change is made or additional information is provided to an already filed Form S-2. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | S-20 |
| Description: | Registration Statement for standardized options, initial statement. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933. |
| Type: | S-20/A |
| Description: | Registration Statement for standardized options, amendment. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | S-2MEF |
| Description: | Registration Statement: A new registration statement filed under Rule 462(b) to add securities to a prior related registration statement filed on Form S-2. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 Rule 462(b) |
| Type: | S-3 |
| Description: | 1933 Act Registration Statement (Shelf Registration): The most simplified registration form and it may only be used by companies that have been required to report under the '34 Act for a minimum of twelve months and have met the timely filing requirements set forth under Form S-2. Also, the offering and issuer must meet the eligibility tests prescribed by the form. The form maximizes incorporating by reference information from '34 Act filings. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | S-3/A |
| Description: | Amendment to 1933 Act Registration Statement: Filed as any change is made or addtional information is provided to an already filed Form S-3. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | S-3ASR |
| Description: | The S-3ASR is an automatic shelf registration statement which is immediately effective upon filing for use by well-known seasoned issuers to register unspecified amounts of different specified types of securities. This Registration Statement is for the registration of securities under the Securities Act of 1933. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | S-3ASR/A |
| Description: | Amendment to Automatic Shelf Registration Statement on Form S-3ASR: Filed as corrections or additions have been made to an initial S-3ASR or a previously amended Form S-3ASR/A. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | S-3D |
| Description: | 1933 Act Registration Statement: Registration of securities pursuant to dividend or reinvestment plans. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | S-3D/A |
| Description: | Amendment to 1933 Act Registration Statement: Filed as any change is made or additional information is provided to an already filed Form S-3D. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | S-3DPOS |
| Description: | 1933 Act Registration Statement: Post-effective amendment to dividend reinvestment plan |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | S-3MEF |
| Description: | Registration Statement: A new registration statement filed under Rule 462(b) to add securities to a prior related registration statement filed on Form S-3. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 Rule 462(b) |
| Type: | S-4 |
| Description: | 1933 Act Registration Statement with Prospectus/Proxy Components: Primarily filed for merger and for exchange offer events. Also filed when companies need shareholder approval, prior to transacting securities. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | S-4 POS |
| Description: | Post-effective Amendment to 1933 Act Registration Statement: Primarily filed for merger and for exchange offer events. Also filed when companies need shareholder approval, prior to transacting securities. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | S-4/A |
| Description: | Amendment to Registration Statement on Form S-4: Filed as any change is made or additional information is provided to an already filed Form S-4. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | S-4EF |
| Description: | 1933 Act Registration Statement: Securities issued in connection with the formation of a bank of savings and loan holding company in compliance with General Instruction G. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | S-4EF/A |
| Description: | Pre-effective amendment to 1933 Act Registration Statement: Securities issued in connection with the formation of a bank or savings and loan holding company in compliance with General Instruction G. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | S-4MEF |
| Description: | Registration Statement: A new registration statement filed under Rule 462(b) to add securities to a prior related registration statement filed on Form S-4. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 Rule 462(b) |
| Type: | S-6 |
| Description: | Registration statement for unit investment trusts, initial statement. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | S-6/A |
| Description: | Registration statement for unit investment trusts, amendment |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | S-8 |
| Description: | 1933 Act Registration Statement: Filed for employee benefit plans (employee stock option plans, management recognition plans, recognition and retention plans, stock option incentive plans). |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | S-8 POS |
| Description: | Post-effective Amendment to 1933 Act Registration Statement: Filed for employee benefit plans (employee stock option plans, management recognition plans, recognition and retention plans, stock option incentive plans). |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | S-8/A |
| Description: | Amendment to 1933 Act Registration Statement: Filed as any change is made or additional information is provided to an already filed Form S-8. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | S-B |
| Description: | Registration statement for securities of foreign governments and subdivisions thereof under the Securities Act of 1933 (Schedule B), initial statement. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | S-B MEF |
| Description: | Additional registration, Form S-B, under rule 462(b) of the 1933 Act. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | S-B/A |
| Description: | Registration statement for securities of foreign governments and subdivisions thereof under the Securities Act of 1933 (Schedule B), amendment. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | SB-1 |
| Description: | 1933 Act Registration Statement: Filed by certain "small business issuers" (revenues under $25M) to register offering of up to $10M of securities, provided that the company has not registered more than $10M in securities offerings during the past year. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | SB-1/A |
| Description: | Amendment to 1933 Act Registration Statement: Filed by certain "small business issuers" filed as any change is made or additional information is provided to an already filed Form SB-1. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | SB-1MEF |
| Description: | Amendment filed to register additional securities for an offering filed on Form SB-1, under rule 462(b) of the 1933 Act. |
| Filing Deadline: | No filing deadline. |
| Relevant Legislation: | Securities Act of 1933. |
| Type: | SB-2 |
| Description: | 1933 Act Registration Statement: Filed by "small business issuers" (under $25M in annual revenues) to register securities to be sold for cash. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | SB-2/A |
| Description: | Amendment to 1933 Act Registration Statement: Filed by certain "small business issuers" filed as any change is made or additional information is provided to an already filed Form SB-2. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | SB-2MEF |
| Description: | Registration Statement: A new registration statement filed by certain "small business issuers" filed under Rule 462(b) to add securities to a prior related registration statement filed on Form SB-2. |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 Rule 462(b) |
| Type: | SFCR |
| Description: | Solvency and Financial Conditions Report: regulatory disclosure for European insurance companies under Solvency II |
| Filing Deadline: | |
| Relevant Legislation: | |
| Type: | U-1 |
| Description: | Initial Application or Declaration: Filed as an initial filing to declare sale and acquisition of assets and securities by registered public utility holding companies. |
| Filing Deadline: | |
| Relevant Legislation: | Public Utility Holding Company Act of 1935 |
| Type: | U-1/A |
| Description: | Amendment to original application or declaration: Filed as information is added to a previously released Form U-1. |
| Filing Deadline: | |
| Relevant Legislation: | Public Utility Holding Company Act of 1935 |
| Type: | U5B |
| Description: | Registration statement filed under section 5 of the Public Utility Holding Company Act. |
| Filing Deadline: | |
| Relevant Legislation: | Public Utility Holding Company Act of 1935 |
| Type: | U5B/A |
| Description: | Amendment to registration statement filed under section 5 of the Public Utility Holding Company Act. |
| Filing Deadline: | |
| Relevant Legislation: | Public Utility Holding Company Act of 1935 |
| Type: | UNDER |
| Description: | Information pursuant to Item 4 of Form S-6 |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 |
| Type: | UNDER/A |
| Description: | Information pursuant to Item 4 of Form S-6, amendment |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 |