SEC Form U-1

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 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.



comments powered by Disqus
Hot Definitions
  1. Accelerated Share Repurchase - ASR

    A specific method by which corporations can repurchase outstanding shares of their stock. The accelerated share repurchase (ASR) is usually accomplished by the corporation purchasing shares of its stock from an investment bank. The investment bank borrows the shares from clients or share lenders and sells them to the company.
  2. Microeconomic Pricing Model

    A model of the way prices are set within a market for a given good. According to this model, prices are set based on the balance of supply and demand in the market. In general, profit incentives are said to resemble an "invisible hand" that guides competing participants to an equilibrium price. The demand curve in this model is determined by consumers attempting to maximize their utility, given their budget.
  3. Centralized Market

    A financial market structure that consists of having all orders routed to one central exchange with no other competing market. The quoted prices of the various securities listed on the exchange represent the only price that is available to investors seeking to buy or sell the specific asset.
  4. Balanced Investment Strategy

    A portfolio allocation and management method aimed at balancing risk and return. Such portfolios are generally divided equally between equities and fixed-income securities.
  5. Negative Carry

    A situation in which the cost of holding a security exceeds the yield earned. A negative carry situation is typically undesirable because it means the investor is losing money. An investor might, however, achieve a positive after-tax yield on a negative carry trade if the investment comes with tax advantages, as might be the case with a bond whose interest payments were nontaxable.
  6. Rounding Bottom

    A chart pattern used in technical analysis, which is identified by a series of price movements that, when graphed, form the shape of a "U". Rounding bottoms are found at the end of extended downward trends and signify a reversal in long-term price movements.
Trading Center