Form F-6EF Filings

What Is SEC Form F-6EF?

SEC Form F-6EF is an important filing required under the Securities Act of 1933. It is used to register depositary shares evidenced by American Depositary Receipts issued against deposited securities of a foreign issuer, with effectiveness occurring immediately upon filing under Rule 466.

This form is typically filed when a depositary establishes an ADR facility or registers ADR shares for a foreign issuer and seeks immediate effectiveness. It is event-driven and filed as needed rather than on a fixed periodic schedule.

Form F-6EF ensures transparency by formally registering ADR shares with the SEC on an immediately effective basis. While it does not create a recurring reporting obligation by itself, it helps establish the registration framework for ADRs tied to the deposited securities of a foreign issuer.

Key elements typically found in SEC Form F-6EF include:

• Name of the foreign issuer and description of the deposited securities
• Name of the depositary bank
• Description of the American Depositary Receipts or shares being registered
• Statement regarding immediate effectiveness under Rule 466
• Exhibits such as the deposit agreement and form of ADR
• Required signatures and certifications

SEC Form F-6EF Filing Deadlines

SEC Form F-6EF does not have a fixed periodic deadline. It is filed when ADR shares are being registered, and immediate effectiveness is sought. These timing details are important to ensure regulatory compliance and proper registration of the ADR facility.

Key Things to Know About Form F-6EF Filing Rules

• Immediate Effectiveness Applies: Form F-6EF is used when the registration statement is intended to become effective immediately upon filing under Rule 466.
• Used for ADR Registration: The form is specifically used for depositary shares evidenced by American Depositary Receipts relating to deposited securities of foreign issuers.
• Event-Driven Filing: Form F-6EF is filed when an ADR facility is being established or ADR shares are being registered, not according to an annual or quarterly deadline.
• Depositary Documentation Matters: The filing typically includes the deposit agreement, the ADR form, and the certifications required for the registration statement.
• Separate Issuer Reporting May Still Apply: Although Form F-6EF registers ADRs, the foreign issuer may still have separate SEC reporting obligations, depending on its status and other filings.

To monitor ADR registrations, foreign issuer activity, and registration updates, our platform helps you track key SEC filings, review recent filings submitted to the SEC, and review broader foreign issuer filing activity. Investors and analysts also often review broader SEC disclosures, including guidance on how to identify the best IPO filings. Check our  Full SEC filers list to view the full list of SEC filers.