Securities Registration Forms

Explore the two main types of registration statements: offerings registrations filed under the Securities Act of 1933, and trading registrations filed under the Securities Exchange Act of 1934.

Explore Securities Registration Forms

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SEC Form D: Definition, What's Included, and Requirements
SEC Form N-CSR
SEC Form 424B3: Definition, When It's Used, and How It's Filed
SEC Form 424B5
Form
SEC Form 424B4
Business Finance, accounting, contract, advisor investment consulting marketing plan for the company with using tablet and computer technology in analysis.
S-8 Filing
Securities and Exchange Commission Headqua -- Washington D.C.rters
SEC Form 10: Definition, Uses, Components, and How It's Filed
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SEC Form F-3: Meaning, Overview, Qualifications
New York Stock Exchange building with flag, as seen from statue of George Washington.
SEC Form 424B2
SEC Form 424B1
SEC Form 424B1
SEC Form 1-A: Meaning, History, Examples
SEC Form 425
SEC Form 497
SEC Form F-4
SEC Form 8-A
SEC Form F-6
SEC Form DEFM14A
SEC Form S-11
SEC Form 8-A12B
Schedule 13E-4
Schedule 13E-4
SEC Form 424A: A form that a company must file if it makes significant changes to a previously-filed prospectus submitted during its registration.
SEC Form 424A
SEC Form N-14AE
SEC Form N-14AE
SEC Form 8-K12G3
SEC Form 8-K12G3
SEC Form F-7
SEC Form F-7
SEC Form F-8
SEC Form F-8
SEC Form 8A12BEF
SEC Form 8A12BEF
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SEC Form F-10
SEC Form S-2
SEC Under Fire As Wall Street Investment Banks Falter
SEC Form N-14
Schedule 14C
SEC Form S-6: A filing required for registering and issuing shares of unit investment trusts.
SEC Form S-6
SEC Form SB-2
SEC Form SB-2