Investopedia

Continue to Site »

SEC Form F-9

Filed Under » , , , , ,
Dictionary Says

Definition of 'SEC Form F-9'

A filing with the Securities and Exchange Commission (SEC) that publicly-traded Canadian foreign private issuers are required to use. These issuers must have been subject to continuous disclosure by a Canadian authority over the 12 months preceding the filing in order to register nonconvertible investment-grade debt or securities. These securities must be offered for cash or as part of an exchange offer and must be non-convertible for at least one year, unless the registrant is a majority-owned subsidiary.
Investopedia Says

Investopedia explains 'SEC Form F-9'

SEC Form F-9 acts as a wraparound for the relevant Canadian offering documentation required by Canadian securities regulation. Companies filing an SEC Form F-9 must have an aggregate market value of public float or outstanding equity of at least $75 million.

Form F-9 is also known as the Registration Statement for Certain Investment Grade Preferred Securities of Certain Canadian Issuers under the Securities Exchange Act of 1933. This act, often referred to as the "truth in securities" law, requires that these registration forms, which provide essential facts, be filed in order to disclose important information upon registration of a company's securities. This helps the SEC achieve the act's objectives: that investors are able to receive significant information regarding securities offered, and to prevent fraud in the sale of the offered securities.

Articles Of Interest

  1.

    The Flow Of Company Information

    Learn how to gather all the pieces before you start to put together your puzzle.

  2. On The Record: Communications With The Public

    NASD Rule 2211 can make or break your career as a registered principal.

  3. Policing The Securities Market: An Overview Of The SEC

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

  4. 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 relations section on its website that is a wealth of information. Walt ...

  5. 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 of violating SEC regulations, there's a good chance that some sort ...

  6. Austerity: When The Government Tightens Its Belt

    When a government tightens its belt in tough economic times the entire nation feels the squeeze.

  7. Why It's Important To Regulate Foreign Exchange

    In an increasingly globalized economy, the significance of the foreign exchange marketplace cannot be underestimated.

  8. Should You Add A Securities License To Your Qualifications?

    Clients love planners who sell securities, but a securities license takes a lot of work. Learn if the stress and study are worth it.

  9. Zynga's New Venture Is A Major Gamble

    The current state of online gambling in the U.S. makes Zynga’s move into the market a very risky one.

  10. How To Report A Tax Cheat

    If you report a tax evader to the IRS, you could be eligible for a reward.
comments powered by Disqus
Marketplace
Hot Definitions

  1. Fool In The Shower

    The notion that changes or policies designed to alter the course of the economy should be done slowly, rather than all at once.

  2. Pattern Day Trader

    An SEC designation for traders who trade the same security four or more times per day (buys and sells) over a five-day period, and for whom same-day trades make up at least 6% of their activity for that period.

  3. Cost-Push Inflation

    A phenomenon in which the general price levels rise (inflation) due to increases in the cost of wages and raw materials.

  4. Happiness Economics

    The formal academic study of the relationship between individual satisfaction and economic issues, such as employment and wealth.

  5. Affluenza

    A social condition arising from the desire to be more wealthy, successful or to "keep up with the Joneses." Affluenza is symptomatic of a culture that holds up financial success as one of the highest achievements.

  6. Icarus Factor

    The term Icarus factor describes a situation where managers or executives initiate an overly ambitious project which then fails. Fueled by excitement for the project, the executives are unable to reign in their misguided enthusiasm before it is too late to avoid the failure.
Trading Center