SEC Form 10-C

DEFINITION of 'SEC Form 10-C'

A form filed with the Securities and Exchange Commission (SEC) by companies whose securities are quoted on the NASDAQ interdealer quotation system. This form is used any time there is a change in oustanding shares in excess of 5% or if there is a change in the name of the issuer.

BREAKING DOWN 'SEC Form 10-C'

The requirement to file Form 10-C is covered under Rule 13a-17 and 15d-17 of the Securities Exchange Act of 1934. Companies must file this report within 10 days of making the changes noted above.

RELATED TERMS
  1. SEC Form 10

    A filing with the Securities and Exchange Commission (SEC), also ...
  2. Interdealer Quotation System

    The exchange system comprised of the Nasdaq (National Association ...
  3. SEC Form SB-2

    A filing with the Securities and Exchange Commission (SEC) required ...
  4. SEC Form 15

    A filing with the Securities and Exchange Commission (SEC), also ...
  5. SEC Form F-80

    A filing with the Securities and Exchange Commission (SEC) that ...
  6. Form 211

    1. A form that must be completed by a market maker and filed ...
Related Articles
  1. Investing Basics

    How A Company Files With The SEC

    Filing with the SEC is not as complicated as you might thing -- just be meticulous about following the steps.
  2. Popular Resources for Equity Research and Analysis: Chapter 2: The SEC Website

    Second to the company investor relations sites is the direct SEC website at www.sec.gov. Investors can learn quite a bit about the securities industry from the SEC. The forms page, which details ...
  3. Professionals

    Introduction

    The forms companies are required to file provide a clear view of their histories and progress.
  4. Professionals

    Registration of Securities

    FINRA/NASAA Series 66 - Registration of Securities. In this section exemptions to state registration of securities under the Uniform Securities Act (USA) and notice filing.
  5. A. Introduction: Securities Industries Rules and Regulations

    Federal and state securities laws, as well as industry regulations, have been enacted to ensure that all industry participants adhere to a high standard of just and equitable trade practices. ...
  6. Investing Basics

    SEC Filings: Forms You Need To Know

    The forms companies are required to file provide a clear view of their histories and progress.
  7. Professionals

    Introduction

    The Securities Act of 1933 was the first major piece of securities industry regulation that was brought about largely as a result of the stock market crash of 1929. Other major laws were also ...
  8. Professionals

    The National Association of Securities Dealers Automated Quotation System (Nasdaq)

    FINRA Series 6 Exam Study Guide - The National Association of Securities Dealers Automated Quotation System (Nasdaq). Deals with types of security issues and stock quotation service levels
  9. Professionals

    STOCKHOLDERS OWNING 5% OF AN ISSUER’S EQUITY SECURITIES

    Stockholders Owning 5% of An Issuer’s Equity Securities The Securities Exchange Act requires that individuals or entities who acquire 5% or more of an issuer’s equity securities to ...
  10. Budgeting

    8. SEC Investigations

    Companies provide distress signals long before they go under. Find out how to read them.
RELATED FAQS
  1. How is trading volume regulated by the Securities and Exchange Commission (SEC)?

    Learn about how the SEC uses the trading volume formula as one requirement for an exemption to the ban on the resale of restricted ... Read Answer >>
  2. When must a company announce earnings?

    The Securities & Exchange Commission (SEC) requires companies to file earnings reports no later than 45 days after the ... Read Answer >>
  3. How do I know if I am buying unregistered securities or stocks?

    All securities, including stocks, bonds and notes, must be registered with the Securities and Exchange Commission (SEC) before ... Read Answer >>
  4. What are unregistered securities or stocks?

    Before securities, like stocks, bonds and notes, can be offered for sale to the public, they first must be registered with ... Read Answer >>
  5. The Administrator issue may issue a stop order for a federal covered security under ...

    The correct answer is d. The Administrator may issue a stop order if it believes it to be in the best interest of the public, ... Read Answer >>
  6. How does FINRA differ from the SEC?

    With all the financial organizations out there, knowing what they all do can be as complicated as knowing where to invest. ... Read Answer >>
Hot Definitions
  1. Return On Invested Capital - ROIC

    A calculation used to assess a company's efficiency at allocating the capital under its control to profitable investments. ...
  2. Law Of Demand

    A microeconomic law that states that, all other factors being equal, as the price of a good or service increases, consumer ...
  3. Cost Of Debt

    The effective rate that a company pays on its current debt. This can be measured in either before- or after-tax returns; ...
  4. Yield Curve

    A line that plots the interest rates, at a set point in time, of bonds having equal credit quality, but differing maturity ...
  5. Stop-Limit Order

    An order placed with a broker that combines the features of stop order with those of a limit order. A stop-limit order will ...
  6. Keynesian Economics

    An economic theory of total spending in the economy and its effects on output and inflation. Keynesian economics was developed ...
Trading Center