SEC Guides
Practical explainers for SEC filings, EDGAR, private funds and adviser records.
What Is SEC Form 13H Large Trader Registration Explained
SEC VERIFY DATA TITLE: What Is SEC Form 13H Large Trader Registration Explained SEO DESCRIPTION: Learn what SEC Form 13H is, who qualifies as a large trader, the SEC trading thresholds, what an LTID is, and how Form 13H differs from Form 13F. WHAT IS SEC FORM 13H Form 13H is an SEC filing used by certain individuals an
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What Is SEC Form ABS-15G Asset-Backed Securities Reporting Explained
SEC VERIFY DATA TITLE: What Is SEC Form ABS-15G Asset-Backed Securities Reporting Explained SEO DESCRIPTION: Learn what SEC Form ABS-15G is, who files it, what asset-backed securitizers report, and how Rule 15Ga-1 disclosures help investors review repurchase activity. WHAT IS SEC FORM ABS-15G Form ABS-15G is an SEC rep
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What Is SEC Form SD Conflict Minerals and Specialized Disclosure Explained
SEC VERIFY DATA TITLE: What Is SEC Form SD Conflict Minerals and Specialized Disclosure Explained SEO DESCRIPTION: Learn what SEC Form SD is, which companies may need to file it, how conflict minerals disclosure works, and what Rule 13p-1 requires. WHAT IS SEC FORM SD Form SD is a Specialized Disclosure Report filed wi
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What Is SEC Form 25 Stock Exchange Delisting Explained
SEC VERIFY DATA TITLE: What Is SEC Form 25 Stock Exchange Delisting Explained SEO DESCRIPTION: Learn what SEC Form 25 is, how stock exchange delisting works, who files Form 25, and how Form 25 differs from Form 15 and other SEC reporting forms. WHAT IS SEC FORM 25 SEC Form 25 is a filing used in connection with the rem
Read guide →What Is SEC Form 10 Securities Registration Explained
SEC VERIFY DATA TITLE: What Is SEC Form 10 Securities Registration Explained SEO DESCRIPTION: Learn what SEC Form 10 is, when companies use it to register securities under the Exchange Act, what information it contains, and how Form 10 differs from Form 10-K and Form S-1. WHAT IS SEC FORM 10 SEC Form 10 is a general re
Read guide →What Is SEC Form 8-A Exchange Act Registration Explained
SEC VERIFY DATA TITLE: What Is SEC Form 8-A Exchange Act Registration Explained SEO DESCRIPTION: Learn what SEC Form 8-A is, how companies register securities under Exchange Act Section 12(b) or 12(g), and how Form 8-A differs from Form 8-K and Form S-1. WHAT IS SEC FORM 8-A Form 8-A is an SEC registration statement us
Read guide →What Is SEC Form 424B Prospectus Filing Explained
SEC VERIFY DATA TITLE: What Is SEC Form 424B Prospectus Filing Explained SEO DESCRIPTION: Learn what SEC Form 424B is, when issuers file a prospectus under Rule 424(b), what 424B4 and 424B5 mean, and how these filings relate to S-1 and S-3 registration statements. WHAT IS SEC FORM 424B Form 424B refers to prospectus fi
Read guide →What Is SEC Form 11-K Employee Stock Plan Report Explained
SEC VERIFY DATA TITLE: What Is SEC Form 11-K Employee Stock Plan Report Explained SEO DESCRIPTION: Learn what SEC Form 11-K is, which employee stock purchase and savings plans file it, what financial information it contains, and how 11-K differs from Form 10-K. WHAT IS SEC FORM 11-K Form 11-K is an annual SEC report us
Read guide →What Is SEC Form N-14 Investment Company Merger Registration Explained
SEC VERIFY DATA TITLE: What Is SEC Form N-14 Investment Company Merger Registration Explained SEO DESCRIPTION: Learn what SEC Form N-14 is, when investment companies use it for mergers and reorganizations, what information it contains, and how N-14 differs from N-1A and N-2. WHAT IS SEC FORM N-14 Form N-14 is an SEC re
Read guide →What Is SEC Form N-8A Investment Company Registration Explained
SEC VERIFY DATA TITLE: What Is SEC Form N-8A Investment Company Registration Explained SEO DESCRIPTION: Learn what SEC Form N-8A is, why investment companies file it, what information it contains, and how N-8A differs from Form N-1A and Form N-2. WHAT IS SEC FORM N-8A Form N-8A is an SEC notification used by an investm
Read guide →What Is SEC Form N-2 Closed-End Fund Registration Explained
SEC VERIFY DATA TITLE: What Is SEC Form N-2 Closed-End Fund Registration Explained SEO DESCRIPTION: Learn what SEC Form N-2 is, which closed-end funds use it, what information the filing contains, and how Form N-2 differs from Form N-1A. WHAT IS SEC FORM N-2 Form N-2 is the SEC registration statement used by closed-end
Read guide →What Is SEC Form N-1A Mutual Fund Registration Explained
SEC VERIFY DATA TITLE: What Is SEC Form N-1A Mutual Fund Registration Explained SEO DESCRIPTION: Learn what SEC Form N-1A is, which mutual funds and ETFs use it, what information it contains, and how N-1A differs from N-PORT and N-CEN. WHAT IS SEC FORM N-1A Form N-1A is the primary SEC registration statement used by op
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