Form 10-M (often searched as 10m) is a U.S. Securities and Exchange Commission (SEC) form titled Irrevocable Appointment of Agent for Service of Process by Non-Resident General Partner of Broker or Dealer. It is listed on the SEC forms index under the Broker-Dealers category, with the SEC form identifier SEC878. On this page you can fill out the form online on FillingPDF and download or print the completed PDF; the original form is published by the SEC at sec.gov.
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What is 10-M?
Form 10-M, Irrevocable Appointment of Agent for Service of Process by Non-Resident General Partner of Broker or Dealer, is the U.S. Securities and Exchange Commission (SEC) form on which a non-resident general partner of a broker or dealer appoints an agent to receive service of process.
The SEC forms index lists the form under the Broker-Dealers category with the identifier SEC878, and prints its title as "Irrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Non-Resident General Partner of Broker or Dealer". The title shows what the form does: the appointment is irrevocable, and the agent named is the person on whom process, pleadings and other papers may be served.
Form 10-M is not one of the periodic or registration forms that share its number prefix. On the same index, Form 10 is the general form for registration of securities under Section 12(b) or (g), Form 10-K is the annual report, Form 10-Q is the quarterly report and Form 10-D is the asset-backed issuer distribution report. None of them is a substitute for Form 10-M.
Who needs to file 10-M?
Form 10-M is meant for a general partner of a broker or dealer who is a non-resident and who must appoint an agent for service of process, as the form's title describes. The SEC places it among its Broker-Dealers forms.
The title also sets the limits of its use: it concerns a general partner, not a limited partner or an employee, and a broker or dealer, not an issuer of securities. Issuers and public companies use other SEC forms, such as Form 10, Form 10-K or Form 10-Q, which the SEC lists under different categories.
The form's listing does not describe who may sign for the partner or who may act as the agent. For questions about whether your situation requires an appointment, consult the SEC's materials for broker-dealers at sec.gov.
How to fill out 10-M
Open the fillable PDF
Start with the Form 10-M PDF, which is published by the SEC, and check that the title matches Irrevocable Appointment of Agent for Service of Process by Non-Resident General Partner of Broker or Dealer.
Identify the broker or dealer
Enter the name of the broker or dealer of which the person appointing the agent is a general partner, as the form asks.
Identify the non-resident general partner
Enter the name and address details the form requests for the non-resident general partner making the appointment.
Name the agent for service
Enter the name and address the form requests for the agent who will receive service of process, pleadings and other papers.
Sign and date the appointment
Complete the signature and date areas the form provides. The appointment is irrevocable, so confirm the details before you sign.
Review and download the PDF
Check every entry against your records, then download or print the completed PDF from FillingPDF and keep a copy.
Common mistakes to avoid
- Confusing Form 10-M with Form 10, Form 10-K, Form 10-Q or Form 10-D; the SEC lists each as a separate form with a different purpose.
- Searching only for 10m and downloading a different SEC form; the one you need is titled Irrevocable Appointment of Agent for Service of Process by Non-Resident General Partner of Broker or Dealer.
- Using Form 10-M for a person who is not a general partner of a broker or dealer, since the title limits the appointment to that role.
- Using a copy of the form from a third party instead of the current PDF published by the SEC at https://www.sec.gov/files/form10-m0.pdf.
Frequently asked questions
What is Form 10-M?
Form 10-M is the SEC form titled Irrevocable Appointment of Agent for Service of Process by Non-Resident General Partner of Broker or Dealer. A non-resident general partner of a broker or dealer uses it to appoint an agent to receive service of process. The SEC lists it as SEC878 under Broker-Dealers.
What does 10m mean on SEC forms?
On the SEC's forms index, 10-M is the number of the Irrevocable Appointment of Agent for Service of Process form for non-resident general partners of a broker or dealer. It is not Form 10, Form 10-K, Form 10-Q or Form 10-D, which are separate SEC forms.
Who needs to file Form 10-M?
The form's title points to a non-resident general partner of a broker or dealer who appoints an agent for service of process. It does not apply to issuers or public companies, which use other SEC forms such as Form 10 or Form 10-K.
Can I fill out Form 10-M online?
Yes. You can fill out the PDF online on FillingPDF and download or print it. FillingPDF is an independent service and does not file the form with the SEC; it only helps you complete the document.
Is the appointment on Form 10-M revocable?
No. The form's title describes the appointment as irrevocable, so the agent named stays appointed as the form states. Confirm the agent's name and address before you sign.
What is the SEC form number SEC878?
SEC878 is the identifier the SEC forms index shows next to Form 10-M. The form number you use on the document is 10-M, and the index places it in the Broker-Dealers category.
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