Form 10-M Files Dataset

Form 10-M is an irrevocable appointment of agent for service of process filed by a nonresident general partner or managing agent of a broker or dealer, designating the Securities and Exchange Commission as agent upon whom process, pleadings, and other papers may be served. The filing is required under Rule 15b1-5 of the Securities Exchange Act of 1934 in connection with the registration of a broker or dealer under Section 15. The dataset includes all Form 10-M filings submitted to EDGAR from May 2022 to present. For each accession number, a metadata file and all documents in the original EDGAR submission are included except image files. Each filing typically contains the nonresident partner's name and address, a designation of the Commission as agent without power of revocation, consent to service via forwarding of registered mail to the last address of record, and a notarized acknowledgment of execution.

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