SEC Form 10-KSB405


DEFINITION of 'SEC Form 10-KSB405'

A Securities and Exchange Commission (SEC) form similar to the 10-K405 but for small businesses. Both forms were used by the SEC prior to 2003. It was used when a company did not file a Form 4 (or similar 3 or 5) disclosing their insider trading activities on time.


Guidelines for reporting insider trading activity is covered under Section 16 of the Securities Exchange Act. Forms 10-K405 and 10KSB405 were eliminated after it was determined that the use of the forms was inconsistent and unreliable. The form is no longer accepted by the EDGAR system.

  1. Securities And Exchange Commission ...

    A government commission created by Congress to regulate the securities ...
  2. Insider

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  3. Securities Act Of 1933

    A federal piece of legislation enacted as a result of the market ...
  4. Insider Trading

    The buying or selling of a security by someone who has access ...
  5. Electronic Data Gathering, Analysis ...

    The electronic filing system created by the Securities and Exchange ...
  6. Securities Exchange Act Of 1934

    The Securities Exchange Act of 1934 was created to provide governance ...
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