SEC Form F-X

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

BREAKING DOWN '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. SEC Form F-10

    A filing with the Securities and Exchange Commission (SEC) that ...
  2. SEC Form F-80

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

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

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

    A filing with the Securities and Exchange Commission (SEC) that ...
  6. SEC Form CB

    A filing with the Securities and Exchange Commission (SEC) required ...
Related Articles
  1. Investing

    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.
  2. Markets

    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.
  3. Investing

    Policing The Securities Market: An Overview Of The SEC

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

    SEC Filings: Forms You Need To Know

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

    What's the SEC?

    The Securities and Exchange Commission (SEC) is an independent agency of the United States government. The mission of the SEC is to enforce securities laws passed by congress. These laws aim ...
  6. Markets

    The SEC: A Brief History Of Regulation

    The SEC has continued to make the market a safer place and to learn from and adapt to new scandals and crises.
  7. Markets

    Understand the SEC Rules on Equity Crowdfunding

    The SEC's adoption of equity crowdfunding rules, initiated under the JOBS Act, enables small investors to invest in companies that show early potential.
  8. Markets

    Understanding The Top SEC filing forms

    It's easier than ever to keep track of your SEC filing status online.
  9. Trading

    Using Public SEC Filings To Analyze Companies

    Reports from the Securities and Exchange Commission provide investors with an edge in determining the investment value of companies. Learn what to look for in these financial reports.
  10. ETFs & Mutual Funds

    How To Start a Hedge Fund In the United States

    A general overview of how to start a hedge fund firm in the United States, including complying with state and federal regulations.
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. 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 >>
  3. 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 >>
  4. 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 >>
  5. How does FINRA differ from the SEC?

    With all the financial organizations out there, knowing what they all do can be as complicated as knowing where to invest. ... Read Answer >>
  6. How is a tender offer used by an individual, group or company seeking to purchase ...

    Learn how tender offers are used in takeover attempts, and understand the difference between a hostile takeover and a friendly ... Read Answer >>
Hot Definitions
  1. Brazil, Russia, India And China - BRIC

    An acronym for the economies of Brazil, Russia, India and China combined. It has been speculated that by 2050 these four ...
  2. Brexit

    The Brexit, an abbreviation of "British exit" that mirrors the term Grexit, refers to the possibility of Britain's withdrawal ...
  3. Underweight

    1. A situation where a portfolio does not hold a sufficient amount of a particular security when compared to the security's ...
  4. Russell 3000 Index

    A market capitalization weighted equity index maintained by the Russell Investment Group that seeks to be a benchmark of ...
  5. Enterprise Value (EV)

    A measure of a company's value, often used as an alternative to straightforward market capitalization. Enterprise value is ...
  6. Security

    A financial instrument that represents an ownership position in a publicly-traded corporation (stock), a creditor relationship ...
Trading Center