SEC Form 2-E

AAA

DEFINITION of 'SEC Form 2-E'

A filing with the Securities and Exchange Commission (SEC) that must be submitted semiannually by small business investment companies that have engaged in a limited offering of their securities. The form must contain information regarding the start and end date of the offering, number of shares offered, number of shares sold, amounts received, expenses paid, whether the offering has been discontinued and why, and the names of all brokers and dealers who participated in the offering.

INVESTOPEDIA EXPLAINS 'SEC Form 2-E'

This form is also known as "report pursuant to rule 609 of regulation E." Regulation E is "exemption of securities of small business investment companies," while rule 609 is "Reports of sales hereunder." The purpose of this filing is to report to the SEC the progress of the offering, including the number of shares sold.

RELATED TERMS
  1. Dealer

    A person or firm in the business of buying and selling securities ...
  2. Securities And Exchange Commission ...

    A government commission created by Congress to regulate the securities ...
  3. Broker

    1. An individual or firm that charges a fee or commission for ...
  4. Security

    A financial instrument that represents: an ownership position ...
  5. Shares

    A unit of ownership interest in a corporation or financial asset. ...
  6. Offering

    The issue or sale of a security by a company. It is often used ...
Related Articles
  1. SEC Filings: Forms You Need To Know
    Investing Basics

    SEC Filings: Forms You Need To Know

  2. Policing The Securities Market: An Overview ...
    Investing Basics

    Policing The Securities Market: An Overview ...

  3. Where can I find a company's annual ...
    Investing

    Where can I find a company's annual ...

  4. What happens to the fines collected ...
    Investing

    What happens to the fines collected ...

Hot Definitions
  1. Financing Entity

    The party in a financing arrangement that provides money, property, or another asset to an intermediate entity or financed ...
  2. Hyperinflation

    Extremely rapid or out of control inflation. There is no precise numerical definition to hyperinflation. Hyperinflation is ...
  3. Gross Rate Of Return

    The total rate of return on an investment before the deduction of any fees or expenses. The gross rate of return is quoted ...
  4. Debit Spread

    Two options with different market prices that an investor trades on the same underlying security. The higher priced option ...
  5. Leading Indicator

    A measurable economic factor that changes before the economy starts to follow a particular pattern or trend. Leading indicators ...
  6. Wage-Price Spiral

    A macroeconomic theory to explain the cause-and-effect relationship between rising wages and rising prices, or inflation. ...
Trading Center