OMB control number

Exchange Act Form 10

OMB 3235-0064 · SEC.

OMB 3235-0064

Sections 12(a), 12(b), and 13 of the Securities Exchange Act of 1934 (the “Exchange Act”) help ensure that investors receive sufficient issuer-oriented information to make informed investment decisions. Section 12(a) prohibits any broker or dealer from trading a security on a national securities exchange unless the security is registered under the Exchange Act. With respect to a security being registered on a national securities exchange, Section 12(b) authorizes the Securities and Exchange Commission (the “Commission”) to require the issuer to disclose specific kinds of information, such as information about the issuer’s organization, financial structure, business, and securities. Section 13 requires every issuer of a security registered pursuant to Section 12 to file periodic and current reports with the Commission. Section 12(g) of the Exchange Act generally requires issuers that have total assets exceeding $10,000,000 and a class of equity security held of record by either 2,000 persons or 500 persons who are not accredited investors to register such equity security with the Commission. Form 10 (17 CFR 249.210) is the general form adopted by the Commission for the registration of securities pursuant to Section 12(b) or 12(g) of the Exchange Act. Form 10 requires financial information and other disclosures about matters such as the issuer’s business, properties, identity and remuneration of management, outstanding securities, securities to be registered, and financial condition. The information collected on Form 10 is intended to ensure that investors in a class of Section 12-registered securities have sufficient information regarding such securities and their issuer necessary to make informed investment and voting decisions.

The latest form for Exchange Act Form 10 expires 2029-01-31 and is listed under ICR 202506-3235-009.

All Historical Document Collections

Historical document collections
ReferenceFilingReceivedConcludedAction
202506-3235-009 Extension without change of a currently approved collection 2025-11-13
202309-3235-006 Revision of a currently approved collection 2023-09-13 Comment filed on proposed rule and continue
202305-3235-008 Revision of a currently approved collection 2023-06-02 Approved without change
202212-3235-031 Revision of a currently approved collection 2023-01-09 Approved without change
202212-3235-008 No material or nonsubstantive change to a currently approved collection 2022-12-19 Approved without change
202210-3235-003 Extension without change of a currently approved collection 2022-10-27 Approved without change
202208-3235-008 Revision of a currently approved collection 2022-08-11 Approved without change
202205-3235-027 Revision of a currently approved collection 2022-05-20 Approved without change
202109-3235-008 Revision of a currently approved collection 2021-11-15 Comment filed on proposed rule and continue
202010-3235-021 Revision of a currently approved collection 2020-11-10 Comment filed on proposed rule and continue
202007-3235-013 Revision of a currently approved collection 2020-07-21 Comment filed on proposed rule and continue
202004-3235-011 Revision of a currently approved collection 2020-04-16 Comment filed on proposed rule and continue
201911-3235-021 Revision of a currently approved collection 2019-12-05 Approved without change
201908-3235-014 Revision of a currently approved collection 2019-09-09 Approved without change
201905-3235-020 Revision of a currently approved collection 2019-06-03 Approved without change
201903-3235-025 Revision of a currently approved collection 2019-04-02 Comment filed on proposed rule and continue
201902-3235-010 Revision of a currently approved collection 2019-02-14 Comment filed on proposed rule and continue
201810-3235-003 Revision of a currently approved collection 2018-10-04 Comment filed on proposed rule and continue
201809-3235-009 Revision of a currently approved collection 2018-09-17 Approved with change
201808-3235-021 Revision of a currently approved collection 2018-08-30 Improperly submitted and continue
201805-3235-025 Revision of a currently approved collection 2018-06-05 Approved without change
201711-3235-008 Revision of a currently approved collection 2018-01-04 Comment filed on proposed rule and continue
201705-3235-012 Extension without change of a currently approved collection 2017-05-30 Approved without change
201312-3235-021 Extension without change of a currently approved collection 2014-03-31 Approved without change
201104-3235-006 Revision of a currently approved collection 2011-04-15 Preapproved
201102-3235-030 Revision of a currently approved collection 2011-03-03 Approved without change
201012-3235-018 Revision of a currently approved collection 2010-12-16 Comment filed on proposed rule and continue
201002-3235-005 Revision of a currently approved collection 2010-02-04 Approved without change
200912-3235-023 Revision of a currently approved collection 2009-12-29 Preapproved
200911-3235-005 Revision of a currently approved collection 2009-11-06 Approved without change
200811-3235-004 Revision of a currently approved collection 2008-11-18 Preapproved
200805-3235-010 Revision of a currently approved collection 2008-05-09 Approved without change
200709-3235-015 Extension without change of a currently approved collection 2007-09-18 Preapproved
200609-3235-031 No material or nonsubstantive change to a currently approved collection 2006-09-20 Approved without change
200603-3235-004 Revision of a currently approved collection 2006-03-09 Approved without change
200412-3235-020 Revision of a currently approved collection 2004-12-09 Approved without change
200212-3235-004 Revision of a currently approved collection 2002-12-02 Approved without change
200205-3235-011 Revision of a currently approved collection 2002-05-20 Approved without change
200008-3235-013 No material or nonsubstantive change to a currently approved collection 2000-08-21 Approved without change
200004-3235-018 No material or nonsubstantive change to a currently approved collection 2000-04-24 Approved without change
200003-3235-047 Revision of a currently approved collection 2000-03-08 Approved without change
200001-3235-008 Extension without change of a currently approved collection 2000-01-12 Approved without change
199812-3235-020 Revision of a currently approved collection 1998-12-24 Approved without change
199610-3235-012 Revision of a currently approved collection 1996-10-24 Approved without change
199607-3235-007 No material or nonsubstantive change to a currently approved collection 1996-07-16 Approved without change
199509-3235-008 Revision of a currently approved collection 1995-09-01 Approved without change
199507-3235-023 Revision of a currently approved collection 1995-07-20 Approved without change
199405-3235-013 Revision of a currently approved collection 1994-05-20 Approved without change
199308-3235-004 Revision of a currently approved collection 1993-08-26 Approved without change
199301-3235-050 Revision of a currently approved collection 1993-01-15 Approved without change
199211-3235-004 Revision of a currently approved collection 1992-11-06 Approved without change
199210-3235-004 Revision of a currently approved collection 1992-10-15 Withdrawn and continue
199207-3235-015 Revision of a currently approved collection 1992-07-29 Approved without change
199106-3235-005 Extension without change of a currently approved collection 1991-06-07 Approved without change
198807-3235-001 Revision of a currently approved collection 1988-07-05 Approved without change
198609-3235-020 No material or nonsubstantive change to a currently approved collection 1986-09-26 Approved with change
198609-3235-010 No material or nonsubstantive change to a currently approved collection 1986-09-08 Approved with change
198605-3235-010 No material or nonsubstantive change to a currently approved collection 1986-05-21 Approved with change
198508-3235-026 Revision of a currently approved collection 1985-08-09 Approved without change
198407-3235-029 No material or nonsubstantive change to a currently approved collection 1984-07-17 Approved with change
198308-3235-017 No material or nonsubstantive change to a currently approved collection 1983-08-16 Approved with change
198209-3235-002 Revision of a currently approved collection 1982-09-01 Approved without change
198108-3235-012 New collection (Request for a new OMB Control Number) 1981-08-12 Approved without change