SEC  FORM TYPES

GLOSSARY
SEC  FORMS SIC CODES 

LINKS
AMEX
NASD
NYSE
QUOTES HISTORICAL
SEC
BROKER DISCIPLINE

Just click on a form type for description.

10 12B		10 12G		10-C		10-K
10-K		10-K405		10-KT		10-Q
10-QT		11-K		11-KT		13FE
15 12B		15 12G		15 15D		24F 2NT
24F 2TM		35-APP		35-CERT		424A
424B1		424B2		424B3		424B4
424B5		485A24E		485APOS		485B24E	
485B24F		485BPOS		486APOS		486BPOS
487		497		497J		8 A12B            
8 A12G		8 B12B		8 B12G		8-K
ARS		AW		DEF 14A		DEF 14C
DEF13E3		DEFA14A		DEFA14C		DEFC14A
DEFC14C		DEFM14A		DEFM14C		DEFR14A
DEFS14A		DEFS14C		DEL AM		DFAN14A
F-1MEF		F-2MEF		F-3MEF		F-4
F-6 POS		N-14		N-18F1		N-1A
N-1A EL		NSAR		N-30B-2		N-30D
N-4 EL		N-8A		N14AE24		N14EL24
NSAR-A		NSAR-AT		NSAR-B		NSAR-BT
NO ACT*		NT 10-K		NT 10-Q		NT 11-K
NT 15D2		NT-NSAR		NTN 11K		POS AM
POS AMC		POS AMI		POS462B		PRE 14A
PRE 14C		PRE13E3		PREA14A		PREC14A
PREM14A		PREM14C		PREN14A		PRER14A
PRER14C		PRES14A		PRRN14A		PX14A6G
REG D*		REG S*		RW		S-1
S-1MEF		S-11		S-11MEF		S-2
S-2MEF		S-3		S-3D		S-3DPOS
S-3MEF		S-4		S-4 POS		S-4EF
S-6		S-6EL24		S-8		S-8 POS
SB-2		SB-2MEF		SC 13D		SC 13E3  	   
SC 13E4		SC 13G		SC 14D1		SC 14D9
SC 14F1		T-3		U-1		U-13-60
U-3A-2		U-57		U-6B-2		U5A 
U5B		U5S

* Forms that are not filed electronically.  

10 12B         (34 Act)
This is a general form for the registration of securities pursuant to section 12(b)

10 12G         (34 Act)
This is a general form for the registration of securities pursuant to section 12(g).

10-C         (34 Act)
This is a form which must be filed by an issuer whose securities are quoted on the NASDAQ interdealer quotation system. Reported on the form is any change that exceeds five percent in the number of shares of the class outstanding and any change in the name of the issuer. The report must be filed within ten days of such change.

10-K         (34 Act)
This the annual report which most reporting companies file with the Commission. It provides a comprehensive overview of the registrant's business. The report must be filed within 90 days after the end of the company's fiscal year.

10-Q         (34 Act)
This is a report filed quarterly by most registered companies. It includes unaudited financial statements and provides a continuing view of the company's financial position during the year. The report must be filed for each of the first three fiscal quarters and is due within 45 days of the close of the quarter.

SC 13D         (34 Act)
This is a schedule discloses beneficial ownership of certain registered equity securities. Any person or group of persons who acquire a beneficial ownership of more than 5% of a class of registered equity securities of certain issuers must file a Schedule 13D reporting such acquisition together with certain other information within ten days after such acquisition. Moreover, any material changes in the facts set forth in the schedule precipitates a duty to promptly file an amendment.

SC 13E4         (34 Act)
This is a schedule (called an Issuer "Tender Offer Statement") must be filed by certain issuers (such as companies with securities registered under Section 12 of the '34 Act) when they are making a tender offer for their own securities.

13FE         (34 Act)
This is the quarterly report of equity holdings by institutional investment managers having equity assets under management of $100 million or more. Included in this category are certain banks, insurance companies, investment advisers, investment companies, foundations and pension funds.

SC 13G         (34 Act)
This is the much abbreviated version of Schedule 13D that is only available for use by a limited category of "persons" (such as banks, broker/dealers, and insurance companies) and even then only when the securities were acquired in the ordinary course of business and not with the purpose nor effect of changing or influencing the control of the issuer.

SC 13E3         (34 Act)
This is a schedule which must be filed by certain companies and their affiliates (such as companies with any equity securities registered under Section 12 of the '34 Act) whenever they engage in a transaction to "take the company private", for example, when the transaction would decrease the number of shareholders to such a point that the company would no longer be required to file reports with the SEC. The transaction could take the form of a merger, tender offer, sale of assets or reverse stock split.

14A         (34 Act)
This is the proxy statement where a document which is intended to provide security holders with the information necessary to enable them to vote in an informed manner on matters intended to be acted upon at security holders' meetings, whether the traditional annual meeting or a special meeting. Typically, a security holder is also provided with a "proxy" to authorize designated persons to vote his or her securities in the event the holder does not attend the meeting. Definitive (final) copies of proxy statements and proxies are filed with the Commission at the time they are sent to security holders. All preliminary proxy material are available except for those specifically requesting confidential treatment.

SC 14D1         (34 Act)
Any individual, other than the issuer itself (See Schedule 13E-4), making a tender offer for certain equity securities (such as equity securities registered pursuant to Section 12 of the '34 Act), which offer, if accepted, would cause that person to own over 5 percent of that class of the securities, must at the time of the offer file a Schedule 14d-1. This schedule must be filed with the Commission and sent to certain other parties, such as the issuer and any competing bidders.

SC 14D9         (34 Act)
This schedule must be filed with the Commission when an interested party, such as an issuer, a beneficial owner of securities, or a representative of either, makes a solicitation or recommendation to the shareholders with respect to a particular tender offer (A tender offer which is, of course, subject to Regulation 14D).

8-K         (34 Act)
This is a  "current report" which is used to report the occurrence of any material events or corporate changes which are of importance to investors or security holders and previously have not been reported by the registrant. It provides more current information on certain specified events than would Forms 10-Q or 10-K. It must be filed within 15 days of any event specified in the form (Except for Item 5).

F-4         (33 Act)
This is  used to register securities in connection with business combinations involving foreign private registrants and applies the principles of the integrated disclosure system to disclosure in the context of mergers and exchange offers.

F-6 POS         (33 Act)
This is used to register depository shares represented by American Depository Receipts issued by a depository against the deposit of the securities of foreign issuer.

N-1A         (33 Act, 40 Act)
This is used to register open-end management investment companies ("mutual funds").

NSAR         (40 Act)
This is a Semi-Annual report filed by registered investment management companies. Unit investment trusts are required to file this form at the end of the calendar year. It shows names of various entities providing services to the investment company as well as information about sales of shares, 12-b1 plans, contracts, type of fund, portfolio turnover rate, financial information and fidelity bonds. This form replaces forms N-1Q, N-1R, N-30A-2, N-30A-3 and N-27D-1.

NSAR-A         (40 Act)
This is a Semi-Annual report filed by registered investment management companies. Unit investment trusts are required to file this form at the end of the calendar year. It shows names of various entities providing services to the investment company as well as information about sales of shares, 12-b1 plans, contracts, type of fund, portfolio turnover rate, financial information and fidelity bonds. This form replaces forms N-1Q, N-1R, N-30A-2, N-30A-3 and N-27D-1.

S-1         (33 Act)
This is the basic registration form. It can be used to register securities for which no other form is authorized or prescribed; except, securities of foreign governments or political sub-divisions thereof.

S-11         (33 Act)
This is a form is used to register securities of certain real estate companies including real estate investment trusts.

S-2         (33 Act)
This is a simplified optional registration form that may be used by companies which have reported 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 preceding the filing of the registration statement. Unlike Form S-1 because it permits incorporation by reference from and delivery to the company's annual report to stockholders.

T-3         (39 Act)
This is a form is used as an application for qualification of indentures pursuant to the Trust Indenture Act of 1939, but only when securities to be issued thereunder are not required to be registered under the Securities Act of 1933.

15 12G         (34 Act)
This is the certification of termination of registration of a class of security under Section 12(g) or notice of suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act Section 12(g).

10-K405         (34 Act)
This is the annual and transitional reports pursuant to Sections 13 and 15(d) where the Regulation S-K Item 405 box on the cover page is checked.

10-KT         (34 Act)
With relation to annual reports. these Transition reports pursuant to Rule 13a-10 or 15d-10.

10-QT         (34 Act)
With relation to quarterly reports. these Transition reports pursuant to Rule 13a-10 or 15d-10.

11-K         (34 Act)
This is the annual reports of employee stock purchase, savings and similar plans.

11-KT         (34 Act)
This is the annual reports of employee stock purchase, savings and similar plans pursuant to rule 13a-10 or 15d-10.

15 12B         (34 Act)
This is the certification of termination of registration of a class of security under Section 12(g) or notice of suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act Section 12(b).

15 15D         (34 Act)
This is the certification of termination of registration of a class of security under Section 12(g) or notice of suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act Section 13 and 15(d).

24F 2NT         (33 Act)
This is the registration of securities by certain investment companies. Declaration of election Rule 24f-2 notice.

24F 2TM         (33 Act)
This is the registration of securities by certain investment companies. Termination of the declaration of election.

35-APP         (35 Act)
This is the statement concerning proposed transaction for which no form of application is prescribed filed pursuant to Rule 20(e).

35-CERT         (35 Act)
This is the certificate concerning terms and conditions filed pursuant to Rule 24.

424A         (33 Act)
This is the  prospectus filed pursuant to Rule 424(a).

424B1         (33 Act)
This is the prospectus filed pursuant to Rule 424(b)(1).

424B2         (33 Act)
This is the prospectus filed pursuant to Rule 424(b)(2).

424B3         (33 Act)
This is the prospectus filed pursuant to Rule 424(b)(3).

424B4         (33 Act)
This is the prospectus filed pursuant to Rule 424(b)(4).

424B5         (33 Act)
This is the prospectus filed pursuant to Rule 424(b)(5).

485A24E         (33 Act, 40 Act)
These are the Post-Effective amendments filed pursuant to Rule 485(a) with additional shares under 24e-2. This filing cannot be submitted as a 1940 Act only filing.

485APOS         (33 Act, 40 Act)
These are the Post-Effective amendments filed pursuant to Rule 485(a).

485B24E         (33 Act, 40 Act)
These are the Post-Effective amendments filed pursuant to Rule 485(b) with additional shares under 24e-2. This filing cannot be submitted as a 1940 Act only filing.

485B24F         (33 Act, 40 Act)
These are the Post-Effective amendments filed pursuant to Rule 485(b) with 24f-2 election. This filing cannot be submitted as a 1940 Act only filing.

485BPOS         (33 Act, 40 Act)
These are the Post-Effective amendments filed pursuant to 485(b).

487         (33 Act)
These are pre-effective pricing amendments filed pursuant to Rule 487.

497         (33 Act)
This is the definitive materials.

497J         (33 Act)
This is the certification of no change in definitive materials.

8 A12B         (34 Act)
This is for the registration of certain classes of securities pursuant to section 12(b).

8 A12G         (34 Act)
This is for the registration of certain classes of securities pursuant to section 12(g).

8 B12B         (34 Act)
This is for the registration of securities of certain successor issuers pursuant to section 12(b).

8 B12G         (34 Act)
This is for the registration of securities of certain successor issuers pursuant to section 12(g).

ARS         (34 Act)
This the annual report to Security Holders. This submission type is to be used when furnishing the annual report to security holders for the information of the Commission pursuant to Rule 14a-3c or 14c-3(b).

AW
This is the amendment withdrawal request.

DEF 14C         (34 Act)
This is used for all types of definitive information statements, excluding: mergers or acquisitions, contested solicitations and special meetings.

DEF13E3         (34 Act)
This is filed as a part of proxy materials. Initial statement preliminary form.

DEFA14A         (34 Act)
These are for any additional proxy soliciting materials-definitive.

DEFA14C         (34 Act)
This for any additional information statement materials-definitive.

DEFC14A         (34 Act)
This is for definitive proxy statement in connection with contested solicitations.

DEFC14C         (34 Act)
This is used for definitive information statement-contested solicitations.

DEFM14A         (34 Act)
This is for definitive proxy statement relating to merger or acquisition.

DEFM14C         (34 Act)
This is used for definitive information statement relating to merger or acquisition.

DEFR14A         (34 Act)
This is the revised proxy soliciting materials-definitive.

DEFS14A         (34 Act)
This is for the definitive proxy statement for special meeting.

DEFS14C         (34 Act)
This is the definitive information statement for special meeting.

DEL AM         (33 Act)
This is for the delaying amendment.

DFAN14A         (34 Act)
This is the additional proxy soliciting materials-definitive-filed by non-management.

N-14         (33 Act)
This is the registration statement for investment companies business combination.

N-18F1         (40 Act)
This is the notification of election pursuant to Rule 18f-1.

N-1A EL         (33 Act, 40 Act)
This is the registration statement for open-end management investment companies. Initial statement with 24f-2 election. This filing cannot be submitted as a 1940 Act only filing.

N-30B-2         (40 Act)
This is the periodic and interim reports mailed to shareholders.

N-30D         (40 Act)
This is the annual and semi-annual reports mailed to shareholders.

N-4 EL         (33 Act, 40 Act)
This is the registration statement for separate accounts(unit investment trusts). Initial statement with 24f-2 election. This filing cannot be submitted as a 1940 Act only filing.

N-8A         (40 Act)
This is the notification of registration under section 8(a).

N14AE24         (33 Act)
This is the registration statement for investment companies business combination. Initial statement with automatic effectiveness with 24f-2 election.

N14EL24         (33 Act)
This is the registration statement for investment companies business combination. Initial statement with 24f-2 election.

NSAR-AT         (40 Act)
This is the periodic reports for registered investment companies. Transitional semi-annual report.

NSAR-B         (40 Act)
These are the periodic reports for registered investment companies. Annual report for management companies.

NSAR-BT         (40 Act)
These are the periodic reports for registered investment companies. Transitional annual report.

NT 10-K         (34 Act)
This is the form 12b-25, notification of late filing. Form 10-K 405, 10-K, 10-KSB 405, or 10-KSB.

NT 10-Q         (34 Act)
This is the form 12b-25, notification of late filing. Form 10-Q, or 10-QSB.

NT 11-K         (34 Act)
This is the form 12b-25, notification of late filing. Form 11-K.

NT 15D2         (34 Act)
This is the form 12b-25, notification of late filing. Special report pursuant to section 15d-2.

NT-NSAR         (40 Act)
These are the periodic reports for registered investment companies. Request for extension of time for filing form N-SAR.

POS AM         (33 Act)
These are the post-effective amendments.

POS AMC         (35 Act)
These are the post-effective amendments to an application or declaration under the act.

POS AMI         (40 Act)
Thesea are the post effective amendments to registration statements for face-amount certificate companies.

PRE 14C         (34 Act)
This is all of the preliminary information statements, excluding, mergers, contested solicitations and special meetings.

PRE13E3         (34 Act)
This is the schedule 13E-3 filed as part of proxy materials, Initial statement-preliminary form.

PREA14A         (34 Act)
This is the preliminary proxy.

PREC14A         (34 Act)
This is the preliminary proxy statements-contested solicitations.

PREM14A         (34 Act)
This is the preliminary proxy statements relating to merger or acquisition.

PREM14C         (34 Act)
These are the preliminary information statements relating to merger or acquisition.

PREN14A         (34 Act)
This is the non-management preliminary proxy statements not involving contested solicitations.

PRER14A         (34 Act)
This is the revised preliminary materials: Proxy soliciting materials.

PRER14C         (34 Act)
These are the revised preliminary materials: Information statements.

PRES14A         (34 Act)
These are the preliminary proxy soliciting materials: Preliminary special meeting.

PRRN14A         (34 Act)
This is the non-management revised preliminary proxy soliciting materials for both contested solicitations and other situations.

PX14A6G         (34 Act)
This is the definitive materials: Notice of exempt solicitation.

RW
This is the registration withdrawal request.

S-3         (33 Act)
This is the registration statement for certain issuers offered pursuant to certain types of transactions: Initial statement.

S-3D         (33 Act)
This is the registration of securities pursuant to dividend or interest reinvestment plans which become effective automatically upon filing: Initial statement.

S-3DPOS         (33 Act)
This is the registration of securities pursuant to dividend or interest reinvestment plans which become effective automatically upon filing: Post-effective amendments.

S-4         (33 Act)
This is the form useed for registration of securities issued in business combination transactions: Initial statement.

S-4 POS         (33 Act)
This is the securities issued in connection with the formation of a bank or savings and loan, or holding company in compliance with General Instruction G: Post-effective amendment.

S-4EF         (33 Act)
This is the securities issued in connection with the formation of a bank or savings and loan, or holding company in compliance with General Instruction G: Initial statement.

S-6         (33 Act)
This is the registration statement for unit investment trusts: Initial statement.

S-6EL24         (33 Act)
This is the registration statement for unit investment trusts: Initial statement with 24f-2 election.

S-8         (33 Act)
These are the securities to be offered to employees pursuant to employee benefit plans: Initial statement.

S-8 POS         (33 Act)
These are the securities to be offered to employees pursuant to employee benefit plans: Post-effective amendments.

SC 14F1         (34 Act)
This is the statement relating to change in majority of directors pursuant to Rule 14f-1: Initial statement.

U-1         (35 Act)
This is the public utility holding companies: Application or declaration under the act: Initial filing.

U-13-60         (35 Act)
This is the annual report for mutual and subsidiary service companies filed pursuant to Rule 94.

U-3A-2         (35 Act)
This is the tatement by holding company claiming exemption from provisions of the act pursuant to Rule 2.

U-57         (35 Act)
This is the notification of Foreign Utility Company Status under Section 33(a)(2) of the Act.

U-6B-2         (35 Act)
This is the certificate of notification of security issue, renewal or guaranty filed pursuant to Rule 20(d).

U5A         (35 Act)
This is the notification of registration filed under section 5(a) of the act: Public Utility Holding Company.

U5B         (35 Act)
This is the registration statement filed under section 5 of the act: Public Utility Holding Company.

U5S         (35 Act)
This the annual report for holding companies registered pursuant to section 5 of the act.

486APOS         (33 Act, 40 Act)
This is the post effective amendment filed by Unit Investment Trusts pursuant to rule 486(a) of the 1933 Securities Exchange Act.

486BPOS         (33 Act, 40 Act)
This is the post effective amendment filed by Unit Investment Trusts pursuant to rule 486(b) of the 1933 Securities Exchange Act.

F-1MEF         (33 Act)
This is the registration pursuant to Rule 462(b) of up to an additional 20% of securities for an offering that was registered on a form F-1.

F-2MEF         (33 Act)
This is the registration pursuant to Rule 462(b) of up to an additional 20% of securities for an offering that was registered on a form F-2.

F-3MEF         (33 Act)
This is the registration pursuant to Rule 462(b) of up to an additional 20% of securities for an offering that was registered on a form F-3.

POS462B         (33 Act)
This is the post-effective amendment to Securities Act Rule 462(b) registration statement.

S-1MEF         (33 Act)
This is the registration pursuant to Rule 462(b) of up to an additional 20% of securities for an offering that was registered on a form S-1.

S-11MEF         (33 Act)
This is the registration pursuant to Rule 462(b) of up to an additional 20% of securities for an offering that was registered on a form S-11.

S-2MEF         (33 Act)
This is the registration pursuant to Rule 462(b) of up to an additional 20% of securities for an offering that was registered on a form S-2.

SB-2         (33 Act)
This is a basic registration form. It can be used to register securities for which no other form is authorized or prescribed; except, securities of foreign governments or political sub-divisions thereof.

SB-2MEF         (33 Act)
This is the registration pursuant to Rule 462(b) of up to an additional 20% of securities for an offering that was registered on a form SB-2.

S-3MEF         (33 Act)
This is the registration pursuant to Rule 462(b) of up to an additional 20% of securities for an offering that was registered on a form S-3.

NO ACTION LETTER
No Action Letter. is a letter written to the SEC  indicating that no civil or criminal action will be taken against an individual engaging in a particular activity; sent in response to a written request for clarification when the legality of the activity in question is not well-established. No Action Letters are not electronically filed.

REG D
These are companies selling securities in reliance on a Regulation D exemption or a Section 4(6) exemption from the registration provisions of the '33 Act must file a Form D as notice of such a sale. The form must be filed no later than 15 days after the first sale of securities. The exact form type is usually REGDEX, but may be a REG D-1 or similar. Reg D's are not filed electronically.

REG S
This is an exemption the 1933 act for the offshore offe and sale of securities. The SEC does not require the a specific filing for Reg S offers, but the sale is reported as Item 9 of Form 8-K. 

HOME                  LINKS