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.


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.

  1. Security

    A financial instrument that represents an ownership position ...
  2. Dealer

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

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

    A unit of ownership interest in a corporation or financial asset. ...
  5. Broker

    1. An individual or firm that charges a fee or commission for ...
  6. Offering

    The issue or sale of a security by a company. It is often used ...
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