Form AW Filings

What Is SEC Form AW?

SEC Form AW is a filing submitted under Securities Act Rule 477 to request that the Securities and Exchange Commission (SEC) consent to the withdrawal of a previously filed amendment to a Securities Act registration statement. It is commonly used when an amendment was filed in error, becomes unnecessary due to changed circumstances, or is being replaced with a corrected submission.

This form is typically filed by an issuer or its authorized agent through EDGAR when the registrant determines that an amendment, including certain post-effective amendments, should be withdrawn from the SEC’s records, and it may include an explanation supporting why withdrawal is appropriate. Guidance for submitting these requests is available through the SEC’s Withdraw a Registration or Certification Statement resource.

Form AW helps ensure the SEC’s public filing record accurately reflects the registrant’s intended submissions and provides a formal process for requesting withdrawal where SEC consent is required. Researchers reviewing these events can also examine Recent SEC Registrations to place amendment withdrawals within the broader registration activity of issuers.

Key elements typically found in SEC Form AW include:

• Name of the registrant and file number of the related registration statement
• Identification of the amendment being withdrawn, including filing date and amendment number, if applicable
• Basis for the withdrawal request and a brief explanation of the circumstances
• Statement regarding whether any securities were sold in reliance on the amendment, as applicable
• Request for fee crediting under Securities Act Rule 457(p), if relevant
• Signature and authorization information for the registrant or filing agent

Programmatic research teams can also use the SEC EDGAR API to retrieve Form AW submissions and connect withdrawal activity with the issuer’s related registration statements and amendments.

SEC Form AW Filing Deadlines

SEC Form AW does not have a fixed statutory filing deadline and is typically submitted on an event-driven basis when a registrant determines that a filed amendment should be withdrawn. Timing depends on the registrant’s circumstances and the status of the amendment for which withdrawal is being requested.

Researchers who need to retrieve Form AW records and related filings can review Using the EDGAR API to Access SEC filing data for a practical workflow for accessing and analyzing SEC submissions.

Key Things to Know About Form AW Filing Rules

• SEC Consent Is Required: A Form AW request is made under Securities Act Rule 477 and is subject to the applicable SEC withdrawal process.
• Form AW Is Amendment-Specific: Form AW is used to withdraw an amendment to a Securities Act registration statement and does not, by itself, withdraw the underlying registration statement.
• EDGAR Submission Standards Apply: Form AW is filed electronically on EDGAR and should clearly identify the amendment being withdrawn and the basis for the request.
• Fee Credit Requests May Be Included: Registrants may request fee crediting under Rule 457(p) when applicable, depending on the circumstances of the registration statement and withdrawal request.
• Used in Multiple Scenarios: Form AW may be used when amendments are filed incorrectly, become unnecessary, are superseded by corrected filings, or are no longer consistent with the registrant’s offering plan.