Form 40-F

Form 40-F
USA
Form 40-F is used by certain Canadian issuers who qualify for the multi-jurisdictional disclosure system set up between the SEC and the provincial securities regulators in Canada. Form 40-F is filed with the SEC for use as:
• An annual report under Section 13(a) or 15(d) of the Securities Exchange Act of 1934, as amended (Exchange Act).
• A registration statement under Section 12 of the Exchange Act.
Generally, an issuer may use Form 40-F if it:
• Is incorporated or organized under the laws of Canada or any Canadian province or territory.
• Is a foreign private issuer or a Canadian crown corporation.
• Has been subject to Canadian reporting requirements for the previous 12 months and is in compliance with those reporting obligations.
• Has a public equity float of US$75 million or more (however, no public equity float threshold applies to non-convertible investment grade debt securities eligible for registration under Form F-9 under the Securities Act of 1933, as amended).
• Is not an investment company registered or required to be registered under the Investment Company Act of 1940.
Certain other Canadian issuers who have filed registration statements under Forms F-7, F-8, F-9, F-10 and F-80 under the Securities Act may also use Form 40-F.
Related links

Practical Law Dictionary. Glossary of UK, US and international legal terms. . 2010.

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