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Securities and Exchange Commission (SEC) logo. The SEC filing is a financial statement or other formal document submitted to the U.S. Securities and Exchange Commission (SEC).
The Commonwealth of Australia is a Form 18 United States SEC registered entity [1] representing the nation of Australia for the purpose of issuing securities in the US market. Form 18 registrations are used only for foreign government registrations with the SEC and do not create a corporation.
In public key infrastructure (PKI) systems, a certificate signing request (CSR or certification request) is a message sent from an applicant to a certificate authority of the public key infrastructure (PKI) in order to apply for a digital identity certificate. The CSR usually contains the public key for which the certificate should be issued ...
In Rules 504 and 505, Regulation D implements §3(b) of the Securities Act of 1933 (also referred to as the '33 Act), which allows the SEC to exempt issuances of under $5,000,000 from registration. It also provides (in Rule 506) a "safe harbor" under §4(a)(2) of the '33 Act (which says that non-public offerings are exempt from the registration ...
Form S-1 is an SEC filing used by companies planning on going public to register their securities with the U.S. Securities and Exchange Commission (SEC) as the "registration statement by the Securities Act of 1933". The S-1 contains the basic business and financial information on an issuer with respect to a specific securities offering.
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Form D is a SEC filing form to file a notice of an exempt offering of securities under Regulation D of the U.S. Securities and Exchange Commission.Commission rules require the notice to be filed by companies and funds that have sold securities without registration under the Securities Act of 1933 in an offering based on a claim of exemption under Rule 504 or 506 of Regulation D or Section 4(6 ...
The Preliminary (or Red Herring) Prospectus is distributed during the quiet period, before the registration statement has become effective with the Securities and Exchange Commission (SEC). Upon the registration becoming effective, a "Final Prospectus" is prepared and distributed which includes the final public offering price and the number of ...