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. Security

    A financial instrument that represents: an ownership position ...
  3. Securities And Exchange Commission ...

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

    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 ...
RELATED FAQS
  1. Where can I find a company's annual report and its SEC filings?

    Thanks to the Internet, finding financial reports is easier than ever. Nowadays, every reputable company has an investor ...
  2. What happens to the fines collected by the Securities and Exchange Commission?

    When the Securities and Exchange Commission (SEC) enforces a civil action against a corporation or an individual found guilty ...
Related Articles
  1. 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.
  2. Investing Basics

    Policing The Securities Market: An Overview Of The SEC

    Find out how this regulatory body protects the rights of investors.
  3. Personal Finance

    Who's Looking Out For Investors?

    If your account has been mishandled, FINRA and the SEC are among several organizations that can help.
  4. Economics

    Global Rivals Locking Horns In Ukrainian War

    Huge power games which are being played behind the Ukrainian conflict are rooted in a previous revolution, a past Cold War, and an old Russia-West rivalry.
  5. Economics

    Does A Junk Rating Reflect Russia's Fundamentals?

    Moody’s, like other credit rating agencies, has downgraded Russia’s sovereign debt rating to non-investment grade, but does this reflect Russia's economy?
  6. Economics

    The Impact Of Ending The US Embargo On Cuba

    Many argue that ending the US embargo on Cuba will not only make US consumers happy, but also help the US economy and bring more freedoms to Cuba.
  7. Economics

    This Is A Small Country With Huge Potential to Grow

    Trinidad and Tobago's increased revenue and economic success have been primarily generated by its energy sector, but it still might be best to diversify.
  8. Economics

    Popular Places Where U.S. Citizens Need A Visa

    A U.S. passport will get you into many countries, but not everywhere. Here's how to visit five of the most popular destinations that require visas.
  9. Economics

    Are You the Victim of Unfair Labor Practices?

    If you are a union member, a union leader, or a manager at a company with an established union, you should understand unfair labor practices.
  10. Investing

    How The SEC Tracks Insider Trading

    We look at how the SEC tracks and tries to stop insider trading - a seemingly impossible task.

You May Also Like

Hot Definitions
  1. Prepaid Expense

    A type of asset that arises on a balance sheet as a result of business making payments for goods and services to be received ...
  2. Gordon Growth Model

    A model for determining the intrinsic value of a stock, based on a future series of dividends that grow at a constant rate. ...
  3. Cost Accounting

    A type of accounting process that aims to capture a company's costs of production by assessing the input costs of each step ...
  4. Law Of Supply

    A microeconomic law stating that, all other factors being equal, as the price of a good or service increases, the quantity ...
  5. Investment Grade

    A rating that indicates that a municipal or corporate bond has a relatively low risk of default. Bond rating firms, such ...
  6. Fringe Benefits

    A collection of various benefits provided by an employer, which are exempt from taxation as long as certain conditions are ...
Trading Center