SEC RW Filing

DEFINITION of 'SEC RW Filing'

This filing is made by companies which have already filed to register their securities with the SEC under the 1934 Securities Act. This filing is a request to formally withdraw the pending securities registration.

BREAKING DOWN 'SEC RW Filing'

Many of the rules and regulations that public companies must follow were laid out in the Securities Act of 1933 and the Securities Exchange Act of 1934.

RELATED TERMS
  1. SEC Form AW

    A filing with the Securities and Exchange Commission (SEC) that ...
  2. SEC Form S-6

    A filing with the Securities and Exchange Commission (SEC), which ...
  3. SEC Form S-8

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

    A simplified security registration form from the SEC, open to ...
  5. SEC Form 15

    A filing with the Securities and Exchange Commission (SEC), also ...
  6. SEC Form SB-2

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

    Registration of Securities

    FINRA/NASAA Series 66 - Registration of Securities. In this section exemptions to state registration of securities under the Uniform Securities Act (USA) and notice filing.
  2. Professionals

    Introduction

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

    Introduction

    The Securities Act of 1933 was the first major piece of securities industry regulation that was brought about largely as a result of the stock market crash of 1929. Other major laws were also ...
  4. Professionals

    Other Definitions

    FINRA/NASAA Series 63 - Other Definitions. This section review other definitions and note how they could appear on the exam.
  5. Professionals

    Securities Regulation

    FINRA/NASAA Series 65 - Securities Regulation. In this section securities registartion exemptions and registering a security.
  6. Investing Basics

    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.
  7. Professionals

    State Authority over Federal Covered Securities

    FINRA/NASAA Series 65 - State Authority over Federal Covered Securities. In this section exchage-listed securuties, investment company shares and initial pyblic offering.
  8. Professionals

    Registration by Coordination

    FINRA/NASAA Series 66 - Registration by Coordination. This section describes the procedure for registration by coordination.
  9. Professionals

    Federal Covered Securities

    FINRA/NASAA Series 66 - Federal Covered Securities. This section explains federal covered securities and sample exam questions.
  10. Professionals

    Registration by Coordination

    FINRA/NASAA Series 63 - Registration by Coordination. In this section filiing requirements for registartion by coorrdination and how a registration becomes effective.
RELATED FAQS
  1. 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 >>
  2. 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 >>
  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. Does everyone have to file a federal tax return?

    This may come as a surprise to many individuals, but not everyone needs to file a federal tax return. According to the IRS, ... Read Answer >>
  5. How is a penny stock created?

    Understand how penny stocks are issued and regulated, and learn how these sometimes rewarding but always risky investments ... Read Answer >>
  6. How do I use the IRS Free File tax forms?

    Free File is a way for taxpayers to prepare and file their federal taxes online for free. The service is available to individuals ... Read Answer >>
Hot Definitions
  1. Law Of Demand

    A microeconomic law that states that, all other factors being equal, as the price of a good or service increases, consumer ...
  2. Cost Of Debt

    The effective rate that a company pays on its current debt. This can be measured in either before- or after-tax returns; ...
  3. Yield Curve

    A line that plots the interest rates, at a set point in time, of bonds having equal credit quality, but differing maturity ...
  4. Stop-Limit Order

    An order placed with a broker that combines the features of stop order with those of a limit order. A stop-limit order will ...
  5. Keynesian Economics

    An economic theory of total spending in the economy and its effects on output and inflation. Keynesian economics was developed ...
  6. Society for Worldwide Interbank Financial Telecommunications ...

    A member-owned cooperative that provides safe and secure financial transactions for its members. Established in 1973, the ...
Trading Center