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What Is Form 40-F?

Also called the Registration and Annual Report for Canadian Securities Form, Form 40-F is a filing with the US Securities and Exchange Commission (SEC) used by Canadian companies that want to offer their securities to United States investors.

In addition to being used to register Canadian securities in the United States, Form 40-F provides investors with valuable insight into the Canadian companies offering them. After the first filing with the SEC, the form is thereafter used by Canadian companies to provide their annual report. The form not only supplies standard information about the security and the company, it also gives the domestic and Canadian contact information for the securities issuer.

Form 40-F may be used by a company that’s incorporated or organized in Canada, is a foreign private issuer or crown corporation, has been subject to reporting to any Canadian regulatory authority for at least 12 months, and possesses outstanding equity shares valued at US$75 million or more, or a Form F-9 filed with the SEC on or before Dec. 30, 2012.

Once filed, Form 40-F is accessible to public scrutiny on the SEC’s online system, EDGAR (Electronic Data Gathering, Analysis and Retrieval).

How Can Merrill Help?

With nearly 50 years of SEC compliance experience, and as one of the first companies to actively engage with EDGAR and the XBRL mandate, Merrill is uniquely qualified to help filers worldwide successfully navigate ever-changing SEC requirements. With Merrill, you can manage regulated disclosure with absolute security, precision and accuracy.

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