Form 10, the General form for registration of securities pursuant to Section 12(b) or (g), is a U.S. Securities and Exchange Commission (SEC) form filed under the Securities Exchange Act of 1934. The SEC lists it in its forms index under catalog number SEC1396. On this page you can fill out the form online on FillingPDF and download or print the completed PDF; the official PDF is published by the SEC at sec.gov.
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What is 10?
Form 10, General form for registration of securities pursuant to Section 12(b) or (g), is a form published by the U.S. Securities and Exchange Commission (SEC) under the Securities Exchange Act of 1934 for registering securities under Section 12(b) or (g).
The SEC's forms index lists it as Form 10 with catalog number SEC1396, in the Securities Exchange Act of 1934 category. The SEC is the federal agency that publishes the form and its companion materials.
The number "10" is shared by several differently titled SEC forms, so it helps to tell them apart by title:
- Form 10-K is the Annual report pursuant to Section 13 or 15(d).
- Form 10-Q is the General form for quarterly reports under Section 13 or 15(d).
- Form 10-D is the Asset-Backed Issuer Distribution Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934.
- Form 18 is the Application for registration pursuant to Section 12(b) & (c) of the Securities Exchange Act of 1934.
- Form 15 is the Certification and notice of termination of registration under Section 12(g) or suspension of duty to file reports under Sections 13 and 15(d).
Form 10 is none of these: its title concerns registration of securities under Section 12(b) or (g).
Who needs to file 10?
Form 10 is for anyone preparing a registration of securities under Section 12(b) or (g) of the Securities Exchange Act of 1934, which is what the SEC's title for the form describes. The SEC's forms index files it under the Securities Exchange Act of 1934 and states no eligibility test, exemption or signer rule for it, so the form's own text and the SEC are the place to confirm whether it applies to you.
Other SEC forms cover neighboring situations, and the index titles tell you when not to use Form 10:
- An annual report is Form 10-K, and a quarterly report is Form 10-Q.
- A notification of late filing is Form 12b-25.
- An application for registration pursuant to Section 12(b) & (c) is Form 18.
- A certification and notice of termination of registration under Section 12(g), or suspension of the duty to file reports under Sections 13 and 15(d), is Form 15.
How to fill out 10
Open the fillable Form 10 PDF
Open the form on this page and keep the SEC's version at https://www.sec.gov/files/form10.pdf for reference. Use the title, General form for registration of securities pursuant to Section 12(b) or (g), to confirm you have the right document.
Confirm Form 10 is the right form
Check that your filing is a registration of securities under Section 12(b) or (g). Annual reports, quarterly reports, terminations and Section 12(b) & (c) applications use other SEC forms.
Read the form's own instructions
Read any instructions printed on the form before you type. Where the form tells you how to answer an item, follow that wording.
Complete each item in order
Work through the fields from the first page to the last, entering the information exactly as each item requests. Do not skip items that apply to you.
Check names and details for consistency
Compare the names, addresses and other details you entered against your records, and make sure the same details appear identically wherever the form repeats them.
Review and download the completed PDF
Review every entry, then download or print the completed PDF from FillingPDF. Submit it only through the channels the SEC provides.
Common mistakes to avoid
- Using Form 10 for an annual report or a quarterly report; the SEC lists those as Form 10-K (Section 13 or 15(d)) and Form 10-Q.
- Mixing up Form 10 with Form 10-D, which is the Asset-Backed Issuer Distribution Report, a different document.
- Using Form 10 where the filing is the Application for registration pursuant to Section 12(b) & (c), which the SEC lists as Form 18.
- Using Form 10 to end a registration; the SEC lists the termination certification and notice under Section 12(g) as Form 15.
- Using Form 10 to notify the SEC of a late filing; the SEC lists that notification as Form 12b-25.
- Relying on a saved copy of the form without checking the current PDF at https://www.sec.gov/files/form10.pdf.
Frequently asked questions
What is Form 10?
Form 10 is the SEC's General form for registration of securities pursuant to Section 12(b) or (g). The SEC lists it in its forms index under the Securities Exchange Act of 1934, with catalog number SEC1396.
Is Form 10 the same as Form 10-K or Form 10-Q?
No. Form 10-K is the Annual report pursuant to Section 13 or 15(d), and Form 10-Q is the General form for quarterly reports under Section 13 or 15(d). Form 10 concerns registration of securities under Section 12(b) or (g).
What is the difference between Form 10 and Form 18?
They are separate SEC forms with different titles. Form 10 is the General form for registration of securities pursuant to Section 12(b) or (g); Form 18 is the Application for registration pursuant to Section 12(b) & (c) of the Securities Exchange Act of 1934.
Which form ends a registration under Section 12(g)?
Not Form 10. The SEC lists Form 15, the Certification and notice of termination of registration under Section 12(g) or suspension of duty to file reports under Sections 13 and 15(d), as the form for that purpose.
Where can I get the official Form 10 PDF?
The SEC publishes Form 10 at https://www.sec.gov/files/form10.pdf and lists it in its forms index at https://www.sec.gov/submit-filings/forms-index. Use those pages to confirm you have the current version.
Can I fill out Form 10 online?
Yes. You can fill out the PDF online on FillingPDF and download or print it. FillingPDF is an independent service, not the SEC, and does not file the form; any filing goes through the channels the SEC provides.
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