SEC Form 40-F

DEFINITION of 'SEC Form 40-F'

A filing with the Securities and Exchange Commission (SEC), also known as the Registration and Annual Report for Canadian Securities Form. It is used by Canadian companies wishing to offer their securities to U.S. investors. In addition to the standard information included on this form describing the security and the company, it also provides domestic and Canadian contact information for the issuer.

BREAKING DOWN 'SEC Form 40-F'

Due to its proximity to the U.S. and the number of companies operating on both sides of the border, many Canadian companies want to make their securities available to U.S. investors. SEC Form 40-F is used to register Canadian securities in the U.S. and can provide valuable insight into Canadian companies. After the initial filing, SEC Form 40-F is also used by Canadian companies to provide their annual report.

Related Forms: SEC Form 40-F/A, 40FR12B, and 40FR12G

RELATED TERMS
  1. SEC Form F-80

    A filing with the Securities and Exchange Commission (SEC) that ...
  2. SEC Form 10

    A filing with the Securities and Exchange Commission (SEC), also ...
  3. SEC Form F-10

    A filing with the Securities and Exchange Commission (SEC) that ...
  4. SEC Form F-7

    A filing with the Securities and Exchange Commission (SEC) that ...
  5. SEC Form F-9

    A filing with the Securities and Exchange Commission (SEC) that ...
  6. SEC Form F-8

    A filing with the Securities and Exchange Commission (SEC) required ...
Related Articles
  1. 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 ...
  2. 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.
  3. 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.
  4. 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 ...
  5. Professionals

    Introduction

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

    8. SEC Investigations

    Companies provide distress signals long before they go under. Find out how to read them.
  7. Stock Analysis

    Looking for Good Investments in Canada? Try These Stocks (BAM, CTC.A)

    Discover why investing in Canadian stocks makes sense and which Canadian companies to invest in even with oil prices at multi-year lows.
  8. Professionals

    Regulation A & D

    Regulation A & D
  9. Economics

    Understanding the SEC

    The SEC's triple mandate of investor protection, maintenance of orderly markets and facilitation of capital formation makes it a vital player in capital markets.
  10. Professionals

    THE SECURITIES ACT OF 1933

    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 ...
RELATED FAQS
  1. 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 >>
  2. What are the most common market indicators to follow the Canadian stock market & ...

    Learn key indicators used by analysts to follow the Canadian stock market and to gauge the condition of the overall Canadian ... Read Answer >>
  3. If an issuer wishes to register a security in the state ...

    The correct answer is a. Registration by coordination is permitted when the issuer has filed a registration application with ... Read Answer >>
  4. How does investing in the banking sector differ between the U.S. and Canada?

    Discover why some investors prefer Canadian to U.S. banks. Learn how trades of Canadian bank shares are executed in both ... Read Answer >>
  5. 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 >>
  6. 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 >>
Hot Definitions
  1. Law Of Demand

    A microeconomic law that states that, all other factors being equal, as the price of a good or service increases, consumer ...
  2. 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; ...
  3. Yield Curve

    A line that plots the interest rates, at a set point in time, of bonds having equal credit quality, but differing maturity ...
  4. 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 ...
  5. Keynesian Economics

    An economic theory of total spending in the economy and its effects on output and inflation. Keynesian economics was developed ...
  6. Society for Worldwide Interbank Financial Telecommunications ...

    A member-owned cooperative that provides safe and secure financial transactions for its members. Established in 1973, the ...
Trading Center