Frequently Asked Questions - SEC Filing Types

  Forms 10-Q/10-K/20-F/6-K
  • Form 6-K - A current report that is filed by a foreign issuer that covers any of the following events: press releases, communications or other distribution of documents directly to security holders, and documents disclosing annual audited or interim financial information.

  • Form 10-K/KSB - Annual report with audited financial statements filed by registrants, including small business issuers.

  • Form 10-Q/QSB - Quarterly report with unaudited financial statements filed by registrants, including small business issuers.

  • Form 20-F - Used by a foreign issuer as its initial registration statement for ADR's or to meet its annual reporting requirements, both filings must include financial statements of the issuer which should be prepared in accordance with U.S. generally accepted accounting principles or in the alternative may be prepared according to another comprehensive body of accounting principles and then include a reconciliation to reconcile net income as reported to net income according to generally accepted accounting principles in the U.S.
  Form 8-K

  • Form 8-K - A current report that may cover any of the following events: entering into or terminating a material agreement, bankruptcy, notice of delisting from a national securities exchange, unregistered sales of equity securities, changes in independent accountants, non-reliance on previously issued financial statements, etc.
  Not-timely notifications

  • Form NT 10-K/Q - Notification that the registrant is unable to meet the applicable filing deadline for the financial report and is supposed to include an explanation why the registrant could not file within the prescribed time period.
  Other filings

  • Form 15-12B/12G/15D - Notification 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 Act.

  • Form 40-F - Registration statement or annual report for certain Canadian issuers.

  • Form S-1 - General form of registration of securities of all registrants for which no other form is authorized or prescribed.

  • Form RW - Registration withdrawal request.

NOTE: An "/A" after a Form type represents an amendment to an earlier filing (e.g., a Form 10-K/A represents an amended Form 10-K filing).

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Saturday, June 24, 2017