Data Dictionary: SEC (U.S. Securities and Exchange Commission)
The SEC data encompasses filings, disclosures, and financial information submitted by publicly traded companies to the U.S. Securities and Exchange Commission. This includes details on corporate structure, management, financial performance, risk factors, and regulatory compliance, offering transparency for investors and regulators alike.
| Form name | Description | Comment |
|---|---|---|
|
1-A, 1-A/A |
Offering statement under Regulation A | |
| 1-A POS | Post-qualification amendment to a 1-A offering statement | |
|
1-A-W, 1-A-W/A |
Withdrawal of offering statement under Regulation A | |
|
1-E, 1-E/A |
Notification under Regulation E by small business investment companies and business development companies. | |
|
1-E AD, 1-E AD/A |
Sales material filed pursuant to Rule 607 under Regulation E. | |
|
1-K, 1-K/A |
Annual Report Pursuant to Regulation A | |
|
1-SA, 1-SA/A |
Semiannual Report Pursuant to Regulation A | |
|
1-U, 1-U/A |
Current Report pursuant to Regulation A | |
|
1-Z, 1-Z/A |
Exit Report under Regulation A | |
|
1-Z-W, 1-Z-W/A |
Withdrawal of Exit Report under Regulation A | |
|
10-12B, 10-12B/A |
Initial general form for registration of a class of securities pursuant to Section 12(b) | |
|
10-12G, 10-12G/A |
Initial general form for registration of a class of securities pursuant to Section 12(g) | |
|
10-D, 10-D/A |
SEC Form 10-D is a filing with the Securities and Exchange Commission (SEC), also known as the Asset-Backed Issuer Distribution Report. Certain asset-backed security (ABS) issuers use it to notify regulators and investors of interest, dividends, and capital distributions. | |
|
10-K, 10-K/A |
The annual report on Form 10-K provides a comprehensive overview of the company's business and financial condition and includes audited financial statements. | |
| 10-K405 | A variant of the standard Form 10-K, Form 10-K405 was used by publicly traded companies to file their annual reports when they failed to file timely insider trading reports under Section 16 of the Securities Exchange Act of 1934. | |
|
10KT, 10-KT|A |
SEC Form 10-KT is a filing with the Securities and Exchange Commission (SEC) submitted in lieu of or in addition to a standard 10-K annual report when a company changes the end of its fiscal year. For example, certain mergers or acquisitions can leave the new company with a shorter or elongated reporting period. | |
|
10-Q, 10-Q|A |
The Form 10-Q includes unaudited financial statements and provides a continuing view of the company's financial position during the year. The report must be filed for each of the first three fiscal quarters of the company's fiscal year. | |
|
10-QT, 10-QT/A |
An SEC Form 10-QT is known as a transition report pursuant to SEC Rule 13a-10 or 15d-10. It is used when there is a presentation of financial statements during "transitional periods" rather than the standard three-month (quarterly) periods covered by a traditional SEC Form 10-Q. | |
| 10KSB | A simplified version of the annual report (Form 10-K) designed for "small business issuers". It includes financial statements and disclosures tailored to smaller companies, helping reduce reporting burdens while still providing investors with essential information. | |
| 10KSB40 | A variant of Form 10-KSB filed by small business investment companies or those that have elected to be regulated as business development companies under the Investment Company Act of 1940. | |
| 10KT405 | SEC Form 10-K405 was used to indicate that an officer or director of a company failed to file Form 4, or similar insider trading disclosure forms, on time | |
| 10QSB | A now-retired quarterly report form that was used by small business issuers to disclose financial performance for each fiscal quarter | |
| 10SB12B | An initial registration statement used by small business issuers to register a class of securities under Section 12(b) of the Securities Exchange Act of 1934 | |
| 10SB12G | An initial registration statement used by small business issuers to register securities under Section 12(g) of the Securities Exchange Act of 1934 | |
|
11-K, 11-K/A |
SEC Form 11-K is a Securities and Exchanges Commission (SEC) form that publicly traded companies are required to file yearly. The form includes information about stock purchases made by employees, as well as any savings plans or similar plans that own interests in any securities that are registered under the Securities Act of 1933, such as employee stock ownership plans (ESOPs). | |
|
11-KT, 11-KT/A |
SEC Form 11-KT is a filing which is submitted in lieu of or in addition to a standard 11-K report under the Securities and Exchange Commission. This is done when a company is changing its fiscal year-end. SEC Form 11-KT gives a special report for employee stock purchase, savings, and similar plans. SEC Form 11-KT is a mandated form added to the SEC Form 10-KT that gives light to the business activities the company engages in. | |
| 12G3-2B | Form 12G3‑2B refers to the exemption found in Exchange Act Rule 12g3‑2(b). | |
| 12G32BR | It is typically filed by foreign issuers whose securities are traded in the U.S. through ADRs but do not meet the thresholds for mandatory registration | |
|
13F-HR, 13-HR/A |
13F Holdings Report Initial Filing 13F-HR | |
|
13F-NT, 13F-NT/A |
Initial Quarterly Form 13F Notice Report filed by institutional managers | |
|
144, 144/A |
This form must be filed by “insiders” prior to their intended sale of restricted stock (issued stock currently unregistered with the SEC). Filing this form results in each seller receiving an automatic exemption from SEC registration requirements for this one transaction. A Form 144 is NOT an EDGAR electronic filing; each 144 is filed by the seller in paper during the day at the SEC. | |
|
15-12B, 15-12B/A |
SEC Form 15-12B is a certification of termination of registration of a class of security under Section 12(g) or notice of suspension of duty to file reports pursuant to Section 13 and 15(d) of the 1934 Securities Exchange Act Section 12(b). This form is used when a company goes private and must register existing securities. | |
|
15-12G, 15-12G/A |
SEC Form 15-12G is a form that allows for certification of termination of registration of a class of security under Section 12(g) or notice of suspension of duty to file reports pursuant to Sections 13 and 15(d) of the Securities Exchange Act of 1934. | |
|
15-15D, 15-15D/A |
SEC Form 15-15D is a certification of termination of registration of a class of security under Section 12(g) or a notice of suspension of duty to file reports pursuant to Section 13 and 15(d) of the 1934 Securities Exchange Act. | |
|
18-12B, 18-12B/A |
Form for initial registration of securities of foreign governments or political subdivisions pursuant to Section 12(b) | |
|
18K, 18K/A |
Annual report for foreign governments and political subdivisions. | |
|
2-E, 2-E/A |
Report of sales of securities pursuant to Rule 609 under Regulation E. | |
|
20-F, 20-F/A |
SEC Form 20-F is a form issued by the Securities and Exchange Commission (SEC) that must be submitted by all "foreign private issuers" with listed equity shares on exchanges in the U.S. Form 20-F calls for the submission of an annual report within four months of the end of a company's fiscal year or if the fiscal year-end date changes. | |
|
20FR12B, 20FR12B/A |
Registration of securities of foreign private issuers pursuant to section 12 (b) of the Securities Exchange Act. | |
|
3, 3/A |
An initial filing of equity securities filed by every director, officer, or owner of more than ten percent of a class of equity securities. Contains information on the reporting person’s relationship to the company and on purchases and sales of equity securities. This form type is now required to be filed with the EDGAR system | |
|
305B2, 305B3/A |
Application for designation of a new trustee under the Trust Indenture Act. | |
|
35-APP, 35-APP/A |
Statement concerning proposed transaction for which no form of application is prescribed filed pursuant to Rule 20(e) of the Public Utility Holding Company Act. | |
|
35-CERT, 35-CERT/A |
Certificate concerning terms and conditions filed pursuant to Rule 24 of the Public Utility Holding Company Act. | |
|
4, 4/A |
Any changes to a previously filed form 3 are reported in this filing. This form type is now required to be filed with the EDGAR system. | |
|
40-17F1, 40-17F1/A |
Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-1 of the Investment Company Act of 1940 filed on Form N-17F-1 | |
|
40-17F2, 40-17F2/A |
Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-2 of the Investment Company Act of 1940 filed on Form N-17F-2 | |
| 486APOS | Post-effective amendment to filing filed pursuant to Securities Act Rule 486(a) (this filing cannot be submitted as a 1940 Act only filing). Form 486APOS is a type of post-effective amendment specifically tied to previously filed Form N-2 registration statements for closed-end funds and interval funds.Under form N-2. | Links to Form N-2 |
| 486BPOS | Post-effective amendment to filing filed pursuant to Securities Act Rule 486(b) (this filing cannot be submitted as a 1940 Act only filing). Filled after a form N-2, Annual or routine updates that do not require SEC review. Under the form N-2. | Links to Form N-2 |
| 486BXT | Post-effective amendment filed pursuant to Securities Act Rule 486(b)(1)(iii) to designate a new effective date for a post-effective amendment previously filed pursuant to Securities Act Rule 486(a) (this filing cannot be submitted as a 1940 Act only filing). Filed to make non-material, automatic updates or changes to a previously effective Form N-2 registration statement. Under the form N-2. | Links to Form N-2 |
|
5, 5/A |
Annual statement of changes in beneficial ownership of securities | |
|
6-K, 6-K/A |
The SEC Form 6-K is a form that foreign private issuers of securities are required to submit, pursuant to stated rules in the Securities Exchange Act of 1934. The Form 6-K, or “Report of Foreign Private Issuer Pursuant to Rules 13a-16 and 15d-16,” is administrated by the Securities and Exchange Commission (SEC). SEC Form 6-K is a cover page for foreign issuers making filings with the SEC. | |
| 6B NTC | Form 6B-NTC is a notice filing submitted to the SEC to report sales of securities made under Regulation B, which governs certain exemptions from registration for public utility holding companies and their subsidiaries under the Public Utility Holding Company Act of 1935 (PUHCA). | |
| 6B ORDR | Form 6B-ORDR was used to request or document an order from the SEC under Regulation B of the Public Utility Holding Company Act of 1935 (PUHCA). | |
|
8-A12B, 8-A12B/A |
Form for the registration / listing of a class of securities on a national securities exchange pursuant to Section 12(b) | |
|
8-A12G, 8-A12G/A |
Form 8-A12G is used by companies to register a class of securities (such as common stock) under Section 12(g) of the Securities Exchange Act of 1934. Filing this form allows a company’s securities to be publicly traded on a national securities exchange or quoted on the OTC markets. | |
|
8-K, 8-K/A |
Form 8-K is known as a “current report” and it is the report that companies must file with the SEC to announce major events that shareholders should know about. | Links to Form 8-K, 8-K/A |
|
8-K12G3, 8-K12G3/A |
Securities Exchange Commission (SEC) Form 8-K12G3 is a special form that is used for the filing and notification of a successor issuer. It is typically filed when a merger or acquisition results in a new issuer of a registered security. SEC Form 8-K12G3 is needed pursuant to Section 12 of the Securities Exchange Act of 1934, which details all of the registration requirements for securities listed on an exchange. Form 8-K12G3 is usually filed by the successor issuer. | Links to Form 8-K, 8-K/A |
|
8-K15D5, 8-K15D5/A |
Notification of assumption of duty to report by successor issue under Section 15(d | Links to Form 8-K, 8-K/A |
| 8F-2 NTC | Form 8F-2 NTC is the notice filed by a unit investment trust (UIT) to inform the SEC of its intent to deregister as an investment company under the Investment Company Act of 1940, typically after the trust has completed its operations and has no remaining assets. | |
| 8F-2 ORDR | Form 8F-2 ORDR is the formal order issued by the SEC granting the deregistration of the investment company after reviewing the 8F-2 NTC filing. | |
|
ABS-EE, ABS-EE/A |
The SEC ABS-EE form, officially titled "Asset-Backed Securities Electronic Filing Form," is used by issuers of asset-backed securities (ABS) to electronically file certain exhibits with the Securities and Exchange Commission (SEC). | |
| APP NTC | Form APP NTC stands for an Application Notice. It’s commonly used to notify the SEC and the public that an application has been submitted or is pending. | |
| APP ORDR | Form APP ORDR is an abbreviation used for an Application for an Order issued under the Investment Company Act of 1940. It serves as the SEC's official final determination or granting of relief in response to a prior exemptive filing such as an APP NTC (Application Notice). | |
|
APP WD, APP WD/A |
Withdrawal of an application for exemptive or other relief from the federal securities laws | |
| APP WDG | APP WDG s(Application Withdrawal Granted) is filled when an applicant (such as an investment company or adviser) formally withdraws a previously submitted application to the SEC often for exemptive relief or another order under the Investment Company Act of 1940. | |
|
ARS, ARS/A |
U.S. Securities and Exchange Commission (SEC) Form ARS, or the Annual Report to Shareholders, is a document used by a public company to report its latest financial performance and may also contain hints about its future direction to its shareholders shortly before its annual shareholders' meeting. | |
| ATS-N | Initial Form ATS-N (Rule 304(a)(1)(i)) | |
| ATS-N-C | Notice of Cessation (Rule 304(a)(3)) | |
| ATS-N-W | Withdrawal of Form ATS-N filing | |
|
CFPORTAL, CFPORTAL/A |
Application for registration of funding portal | |
| CFPORTAL-W | Withdrawal of the funding portal’s registration | Links to Form CFPORTAL, CFPORTAL/A |
| D, D/A | Official notice of an offering of securities that is made without registration under the Securities Act in reliance on an exemption provided by Regulation D and Section 4(a)(5) under the Act. | |
| F-1MEF | A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form F-1 | |
|
F-2, F-2/A |
Registration statement for certain foreign private issuers. | |
|
F-3, F-3/A |
Registration statement for specified transactions by certain foreign private issuers | |
| F-3ASR | Automatic shelf registration statement of securities of well-known seasoned issuers | |
| F-3D | Registration statement for dividend or interest reinvestment plan securities of foreign private issuers | |
| F-3DPOS | Post-Effective amendment to a F-3D registration | |
| F-3MEF | Registration pursuant to Securities Act Rule 462(b) of up to an additional 20% of securities for an offering that was registered on a Form F-3. | |
|
F-4, F-4/A |
Registration statement for securities issued by foreign private issuers in certain business combination transactions | |
| F-4 POS | Post-effective amendment to a F-4EF registration. Under form F-4/F-4/A. | Links to Form F-4, F-4/A |
| F-4EF | Auto effective registration statement for securities by certain foreign private issuers in connection with certain business combination transactions. Under form F-4/F-4/A. | Links to Form F-4, F-4/A |
| F-4MEF | Registration pursuant to Securities Act Rule 462(b) of up to an additional 20% of securities for an offering that was registered on a Form F-4. Under form F-4/F-4/A. | Links to Form F-4, F-4/A |
|
F-6, F-6/A |
Registration statement for American Depositary Receipts representing securities of certain foreign private issuers | |
| F-6 POS | Post-effective amendment to a F-6EF registration. Under form F-6/F-6/A. | Links to Form F-6, F-6/A |
| F-6EF | Auto effective registration statement for American Depositary Receipts representing securities of certain foreign private issuers. Under form F-6/F-6/A. | Links to Form F-6, F-6/A |
| IRANNOTICE | Notice of disclosure filed in Exchange Act quarterly and annual reports pursuant to Section 219 of the Iran Threat Reduction and Syria Human Rights Act of 2012 and Section 13(r) of the Exchange Act | |
|
MA, MA/A |
Municipal Advisor registration required pursuant to Section 15B(a)(2) of the Securities Exchange Act of 1934 and the Rules Thereunder. Application for Municipal Advisor Registration (MA) | |
|
MA-A, MA-A/A |
Annual Update of Municipal Advisor Registration (MA-A). A yearly ammendment to MA - merged with MA/MA/A | Links to Form MA, MA/A |
|
MA-I, MA-I/A |
Information Regarding Natural Persons Who Engage in Municipal Advisory Activities | |
| MA-W | Notice of Withdrawal from Registration as a Municipal Advisor | |
|
N-1, N-1/A |
Registration statement for open-end management investment companies. | |
|
N-14, N-14/A |
Initial registration statement filed on Form N14 for open-end investment company, including those filed with automatic effectiveness under Rule 488 (business combinations) | |
|
N-14 8C, N-14 8C/A |
Initial registration statement filed on Form N14 by closed-end investment company (business combinations) | |
|
N-14AE, N-14AE/A |
Initial statement with automatic effectiveness. | |
| N-14MEF | A new registration statement filed on Form N14 by closed end investment companies filed under Securities Act Rule 462(b) of up to an additional 20% of securities for an offering that was registered on Form N-14 | |
|
N-18F1, N-18F1/A |
Initial notification of election pursuant to Rule 18f-1 filed on Form N-18F-1 | |
|
N-1A, N-1A/A |
Registration statement for Mutual Funds. | |
|
N-2, N-2/A |
Initial filing of a registration statement on Form N-2 for closed-end investment companies | |
| N-2ASR | Post-effective amendment to Form N-2, used by closed-end management investment companies (such as closed-end funds or business development companies) that have already registered. | |
|
N-23C3C, N23C3C/A |
Filing pursuant to Rule 23c-3(b) and (c) on Form N-23C-3 | |
|
N-27D-1, N-27D-1/A |
Accounting for segregated trust accounts on Form N-27D-1 | |
| N-2MEF | A new registration statement on Form N-2 filed under Securities Act Rule 462(b) by closed-end investment companies of up to an additional 20% of securities for an offering that was registered on Form N-2 | Links to N-2ASR |
| SC 13D, SC 13D/A - SCHEDULE 13D | Schedule filed to report acquisition of beneficial ownership of 5% or more of a class of equity securities by passive investors and certain institutions | |
| SC 13G, SC 13G/A - SCHEDULE 13G | Schedule filed to report acquisition of beneficial ownership of 5% or more of a class of equity securities by passive investors and certain institutions |