SF3, written on the form as Form SF-3, is a Registration Statement Under the Securities Act of 1933 for asset-backed securities on a shelf basis, issued by the U.S. Securities and Exchange Commission (SEC). This page is for people who need the form itself, whether they are preparing a filing or checking what the document looks like. You can fill out Form SF-3 online on FillingPDF and download or print the completed PDF. The original PDF is published by the SEC at sec.gov, and the SEC's forms index lists it alongside its other forms.
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What is SF-3?
Form SF-3, Registration Statement Under the Securities Act of 1933 (asset-backed securities, shelf), is the SEC registration statement form for asset-backed securities offered on a shelf basis under the Securities Act of 1933.
The U.S. Securities and Exchange Commission (SEC) publishes the form, and the PDF is available at https://www.sec.gov/files/formsf-3.pdf. The SEC's forms index lists its forms by form number, with an SEC form number and a category for each, such as Securities Act of 1933, Securities Exchange Act of 1934 or Investment Company Act of 1940. Registration statements under the Securities Act of 1933 sit in the first of those categories.
The parenthetical in the official name, "asset-backed securities, shelf", is what separates this form from its neighbours on the index. For example, Form 1-A, the Regulation A Offering Statement, is a different Securities Act of 1933 document, and Form 10-D, the Asset-Backed Issuer Distribution Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934, is a report under another statute, not a registration statement.
Check the SEC's own page for the current text and any instructions that apply to the form.
Who needs to file SF-3?
The name of the form places it with filers that register asset-backed securities on a shelf basis under the Securities Act of 1933. The SEC's forms index files Securities Act of 1933 forms under that heading.
The index does not say who must use Form SF-3 or who is excluded, so check the SEC's form and its instructions before relying on it. If your document is a Regulation A offering statement, you want Form 1-A. If it is a periodic distribution report for asset-backed securities, you want Form 10-D. Neither is this registration statement.
How to fill out SF-3
Confirm this is the right form
Check that the full name reads Registration Statement Under the Securities Act of 1933 (asset-backed securities, shelf) and that the number is SF-3.
Compare with the SEC's published PDF
Open https://www.sec.gov/files/formsf-3.pdf and check the revision and instructions printed on the SEC's version before you enter anything.
Fill in the fields the form requests
Complete each field of the form with the information the SEC's PDF asks for, in the order the form presents it.
Check the SEC's instructions
Use the instructions the SEC publishes for this form to decide what each item requires and what must accompany it.
Review every entry
Read the completed form from start to finish and correct any entry that does not match your records.
Download the completed PDF
Download or print the completed PDF from FillingPDF, then follow the SEC's channels described under How to submit.
How to submit SF-3
Form SF-3 is an SEC form, so it goes to the SEC through the agency's own channels and not through this page. The SEC lists the form on its forms index at https://www.sec.gov/submit-filings/forms-index, and the PDF is at https://www.sec.gov/files/formsf-3.pdf. Check the SEC pages for the filing method, any fee and any attachments that apply. FillingPDF lets you fill out and download the PDF; submission follows the agency's channels.
Common mistakes to avoid
- Using Form 10-D, the Asset-Backed Issuer Distribution Report, when you need the Securities Act of 1933 registration statement for asset-backed securities.
- Using Form 1-A, the Regulation A Offering Statement, in place of Form SF-3; they are separate Securities Act of 1933 forms.
- Working from a copy that is not the PDF the SEC publishes at https://www.sec.gov/files/formsf-3.pdf.
- Choosing a form from the SEC forms index by number alone without reading its full name, which here includes "(asset-backed securities, shelf)".
Frequently asked questions
What is Form SF-3 (sf3)?
Form SF-3 is the SEC's Registration Statement Under the Securities Act of 1933 for asset-backed securities on a shelf basis. The form's official name carries the parenthetical "(asset-backed securities, shelf)", and the SEC publishes it as a PDF.
Which agency issues Form SF-3?
The U.S. Securities and Exchange Commission (SEC) issues Form SF-3. It publishes the PDF at https://www.sec.gov/files/formsf-3.pdf and lists its forms, by form number and category, on its forms index.
Can I fill out Form SF-3 online?
Yes. You can fill out the PDF online on FillingPDF and download or print it. FillingPDF is an independent service: it does not file the form with the SEC or confirm it satisfies any filing requirement. You submit it through the SEC's channels.
Where can I get the official PDF of Form SF-3?
The SEC publishes it at https://www.sec.gov/files/formsf-3.pdf. You can also find the SEC's list of forms at https://www.sec.gov/submit-filings/forms-index, which sorts forms by number and by category.
Is Form SF-3 the same as Form 10-D?
No. Form SF-3 is a registration statement under the Securities Act of 1933. Form 10-D is the Asset-Backed Issuer Distribution Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934, which is a report under a different law.
What does "shelf" mean in the name of Form SF-3?
It is part of the SEC's official name for the form, Registration Statement Under the Securities Act of 1933 (asset-backed securities, shelf). It marks this as the asset-backed shelf registration statement and tells it apart from other SEC forms. Read the SEC's PDF and instructions for details.
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