SEC Form F-X

AAA

DEFINITION of 'SEC Form F-X'

A filing with the Securities and Exchange Commission (SEC) that requires an issuer that is doing one of the following to appoint an agent that may be served processes, pleadings, subpoenas or other papers:

  • registering securities using SEC Forms F-8, F-9, F-10 or F-80 under the Securities Act of 1933;
  • registering securities using SEC Form 40-F under the Securities Act of 1933;
  • filing tender offer documents on SEC Forms 13E-4F, 14D-1F or 14D-9F;
  • a Canadian issuer qualifying an offering pursuant to Regulation A; or
  • any foreign issuer using Form CB in connection with a tender offer, rights offering or business combination; or acting as trustee for securities registered using form F-7, F-8, F-9, F-10, F-80

INVESTOPEDIA EXPLAINS 'SEC Form F-X'

Form F-X is also known as the Appointment of Agent for Service of Process and Undertaking, and is filed under the Securities 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.

RELATED TERMS
  1. Electronic Data Gathering, Analysis ...

    The electronic filing system created by the Securities and Exchange ...
  2. Regulation A

    An exemption from the registration requirements mandated by the ...
  3. Securities And Exchange Commission ...

    A government commission created by Congress to regulate the securities ...
  4. System for Electronic Document ...

    The system used for electronically filing most securities information ...
  5. Securities Exchange Act Of 1934

    The Securities Exchange Act of 1934 was created to provide governance ...
  6. Plant Patent

    An intellectual property right that protects a new and unique ...
Related Articles
  1. Financial Footnotes: Start Reading The ...
    Fundamental Analysis

    Financial Footnotes: Start Reading The ...

  2. Get A Job In Compliance
    Professionals

    Get A Job In Compliance

  3. The Flow Of Company Information
    Investing Basics

    The Flow Of Company Information

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

    Policing The Securities Market: An Overview ...

comments powered by Disqus
Hot Definitions
  1. Halloween Massacre

    Canada's decision to tax all income trusts domiciled in Canada. In October 2006, Canada's minister of finance, Jim Flaherty, ...
  2. Zombies

    Companies that continue to operate even though they are insolvent or near bankruptcy. Zombies often become casualties to ...
  3. Witching Hour

    The last hour of stock trading between 3pm (when the bond market closes) and 4pm EST. Witching hour is typically controlled ...
  4. October Effect

    The theory that stocks tend to decline during the month of October. The October effect is considered mainly to be a psychological ...
  5. Repurchase Agreement - Repo

    A form of short-term borrowing for dealers in government securities.
  6. Correlation

    In the world of finance, a statistical measure of how two securities move in relation to each other. Correlations are used ...
Trading Center