What is ‘SEC Form 15’

SEC Form 15 is a voluntary filing with the Securities and Exchange Commission (SEC), also known as the Certification and Notice of Termination of Registration. It is used by publicly-traded companies to revoke the registration of their securities. SEC Form 15 may also be used to notify the SEC and investors of a company’s intent to cease filing various required forms because their securities no longer fall under certain filing requirements. A company must have fewer than 300 shareholders to be eligible to file Form 15.


Reporting requirements under the Securities Exchange Act of 1934 can be onerous for small publicly-listed firms. This is particularly true for these relatively obscure entities that have very little trading of their stock on an exchange. Because of the limited…