What is 'SEC Form S-4EF'

An SEC filing that is required when forming a savings bank, savings and loan or similar financial institution that issues securities as a result of the investment of its customers' deposits.


Savings banks and similar financial institutions are required to file SEC Form S-4EF under SEC General Instruction G and Sections 13(a) and 15(d) of the Securities Exchange Act of 1934. The Securities Exchange Act of 1934 Act was created to help investors make informed decisions by requiring companies which have more than $10 million in assets, with 500 or more equity holders and who issue securities on a national securities exchange, to complete and file registration statements (including financial and material information) with the SEC before making an issue available for purchase by the public. Companies must keep these filings regularly updated for investors by submitting completed 10-Q, 10K and/or 8-K forms with the SEC.

Rules for Use of SEC Form S-4EF

  1. Form S-4EF may be used for registration, under the Securities Act of 1933 (“Securities Act”), of securities to be issued (1) in a transaction of the type specified in paragraph (a) of Rule 145 (§230.145 of this chapter); (2) in a merger in which the applicable state law would not require the solicitation of the votes or consents of all of the security holders of the company being acquired; (3) in an exchange offer for securities of the issuer or another entity; (4) in a public re-offering or resale of any such securities acquired pursuant to this registration statement; or (5) in more than one of the kinds of transaction listed in (1) through (4) registered on one registration statement.

  2. If the registrant meets the requirements of, and elects to comply with, the provisions in any item of this Form or Form F-4 (§239.34 of this chapter) that provides for incorporation by reference of information about the registrant or the company being acquired, the prospectus must be sent to the security holders no later than 20 business days prior to the date on which the meeting of such security holders is held or, if no meeting is held, at least 20 business days prior to either (1) the date of such votes, consents or authorizations, or (2) the date the transaction is consummated or the votes, consents or authorizations may be used to effect the transaction. Attention is directed to Sections 13(e), 14(d) and 14(e) of the Securities Exchange Act of 1934 (“Exchange Act”) the rules and regulations thereunder regarding other time periods in connection with exchange offers and going private transactions.

  3. This Form shall not be used if the registrant is a registered investment company or a business development company as defined in Section 2(a)(48) of the Investment Company Act of 1940.

  1. SEC Form F-4

    SEC Form F-4 is a filing that the Securities and Exchange Commission ...
  2. SEC Form 8-A12B

    A Securities and Exchange Commission (SEC) filing required by ...
  3. SEC Form F-3

    SEC Form F-3 is required for the registration of certain securities ...
  4. SEC Form 15

    SEC Form 15 is a voluntary filing with the regulator by publicly ...
  5. SEC Form S-6

    SEC Form S-6 is a filing with the Securities and Exchange Commission ...
  6. SEC RW Filing

    An SEC RW filing is made by companies requesting to formally ...
Related Articles
  1. Taxes

    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. Investing

    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.
  3. Investing

    Speed-Read SEC Filings for Hot Stock Picks

    SEC filings can be a headache. Read out how to speed-read through your stock research.
  4. Financial Advisor

    What Triggers an SEC Audit for Financial Advisors?

    Advisors looking to avoid an SEC audit should pay heed to this list of what may catch the regulator's attention.
  5. Financial Advisor

    A Review of SEC Enforcement Cases in 2016

    The SEC set a new record in 2016 for the number of enforcement actions it brought.
  6. Investing

    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.
  7. Insights

    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. Investing

    SEC Approves New Rules for Broker/Advisor Conduct

    The SEC made it official this week, proposing new regulation that would lower investor confusion and protect them from conflicts of interest.
  9. Investing

    An Overview of the SEC's New Mutual Fund Rules

    The SEC has released new liquidity rules for mutual funds aimed at reducing risk.
  10. Financial Advisor

    Reforming the Fiduciary Standard

    Although the fiduciary rule is gone, implementation of an industry-wide fiduciary standard remains a priority for many in the financial sector.
  1. 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 >>
  2. How does FINRA differ from the SEC?

    Discover how Securities and Exchange Commission (SEC) is different from the Financial Industry Regulatory Authority (FINRA) ... Read Answer >>
  3. When must a company announce earnings?

    The Securities & Exchange Commission (SEC) requires companies to file earnings reports no later than 45 days after the end ... Read Answer >>
  4. How are investment banks regulated in the United States?

    Read about the extensive regulations placed on investment banks in the United States, starting with the Glass-Steagall Act ... Read Answer >>
Trading Center