SEC Form U-1

Dictionary Says

Definition of 'SEC Form U-1'


An application or declaration made by a company to the Securities Exchange Commission, of an issue or sale of securities, an acquisition, or sale of assets. Form U-1 was known as the Uniform Application to Register Securities. This form is now obsolete.

Investopedia Says

Investopedia explains 'SEC Form U-1'


Form U-1 was part of the package that had to be submitted to the SEC as part of the Small Corporate Offering Registration (SCOR), that was adopted in April 1989. The SCOR Form was designed for use by companies seeking to raise capital through a public offering of securities that were exempt from registration with the SEC, under certain regulations.


In addition to Form U-1, other documents that were required to be filed in a registration application included: two copies of the prospectus, all exhibits filed with the SEC and the applicable filing fees. The issuer had to file a separate Form U-1 in each state where it desired to sell securities, indicating the amount of securities being registered in that state.



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