Form 7-M Files Dataset

Form 7-M filings contain an irrevocable power of attorney, consent, stipulation, and agreement by which a nonresident broker or dealer designates the Securities and Exchange Commission as an agent for service of process in civil suits and actions. The form is filed pursuant to Section 15 of the Securities Exchange Act of 1934 and Rule 15b1-5 thereunder, applying throughout the period a nonresident broker-dealer's registration remains effective. The dataset includes all Form 7-M filings submitted to EDGAR from September 2024 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 reporting person's name and address, an acknowledgment that causes of action accruing during the registration period may be served on the Commission, a notarized acknowledgment executed before an authorized official in the jurisdiction of execution, and identifying information for the associated broker-dealer registration.

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