What is Form 10? | Compliance Glossary

What is Form 10? | Compliance Glossary

What Is Form 10?

Form 10 is used to register securities with the Securities and Exchange Commission (SEC) for trade on US exchanges. Also known as the General Form for Registration of Securities, it provides essential information including the type and amount of security being issued, the issuer’s financial information, and potential opportunities and conflicts of interest. Once filed, a Form 10 is made publicly available on the SEC’s online filing system, EDGAR (Electronic Data Gathering, Analysis and Retrieval).

Used by both private and public companies, SEC Form 10 can be filed voluntarily, with no revenues, assets or minimum shareholder requirements. However, the form is required of security issuers with more than US$10 million in total assets and 750 or more shareholders on record. It fulfills disclosure requirements from The Securities Exchange Act of 1934, but can also be used for accelerated and small business filings.

Form 10 is a fundamental source of information about publicly traded security—everyone from private investors to financial analysts uses this form to make investment decisions.

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