Form F-9 POS Files Dataset

The Form F-9 POS Files Dataset is a closed historical corpus of post-effective amendments filed on EDGAR under the form type F-9 POS — amendments to registration statements originally filed on Form F-9 under the Securities Act of 1933. Form F-9 was a Multijurisdictional Disclosure System (MJDS) form available exclusively to eligible Canadian issuers for the registration of investment-grade, non-convertible debt and preferred securities, and was rescinded effective December 31, 2012 under Section 939A of the Dodd-Frank Act. One record represents a single EDGAR accession on form type F-9 POS, packaged as a folder containing a JSON metadata sidecar plus the parsed component documents of the submission. The dataset spans May 2003 through December 2012, with no further records expected because the underlying form no longer exists. Each filer is the same Canadian issuer (or Canadian co-registrant guarantor) named on the underlying F-9 registration statement.

Dataset APIs

Dataset Files

What This Dataset Contains

The dataset captures every Form F-9 POS submission accepted by EDGAR during the form's electronic-filing lifetime — from the earliest electronic F-9 POS dated May 1, 2003 through the December 31, 2012 rescission of Form F-9. Because Form F-9 was rescinded under Section 939A of the Dodd-Frank Act (which directed federal agencies to remove credit-rating references from their rules, including F-9's investment-grade NRSRO eligibility threshold), no further F-9 POS accessions will ever be created and the corpus is permanently closed.

A F-9 POS filing is a post-effective amendment to a previously effective Form F-9 (or Form F-9EF) registration statement. Post-effective amendments are filed after a registration statement has gone effective and are typically used to update prospectus content, reflect a material change, or — most commonly in this corpus — formally remove unsold securities from registration. The body of an F-9 POS is therefore narrow and procedural rather than a full re-registration, and the underlying document is short relative to an initial F-9 filing.

The dataset is delivered as monthly ZIP containers organized into year-named directories. Each per-record folder, keyed by the un-dashed 18-digit EDGAR accession number, contains a metadata.json sidecar plus the SGML-wrapped HTML of the F-9 POS document; image attachments are excluded. Across the dataset, file types are HTML for the primary document and JSON for the sidecar; the TXT type advertised in the dataset's file-type set refers to the EDGAR full-submission .txt bundle, which is linked by URL inside metadata.json rather than materialized inside the per-record folder.

Content Structure of a Single Record

What one record represents

One record in the Form F-9 POS Files Dataset is a single post-effective amendment submitted to EDGAR under the form type F-9 POS. Concretely, a record is the directory of files extracted from one EDGAR accession: a JSON metadata sidecar plus the parsed component documents of the original submission, excluding any image attachments. The 18-digit EDGAR accession number is the unique key for the record, and the per-record folder is named with the accession number stripped of dashes (for example, accession 0001193125-12-123567 resolves to the folder 000119312512123567).

Container layout and per-record file tree

Containers follow paths of the form <year>/<year>-<month>.zip. Each ZIP expands into a directory named <year>-<month>/ containing one subfolder per filing keyed by the un-dashed accession number.

Inside a single record folder, the file tree is small and predictable:

• metadata.json — a JSON sidecar describing the EDGAR submission and its component documents.
• One primary HTML document carrying the F-9 POS itself, named per the filer's EDGAR submission convention (for example, d318445df9pos.htm, where the f9pos slug encodes the form abbreviation).

Because the form is used for narrow procedural amendments, the typical record contains exactly two files. Image files attached to the original EDGAR submission (logos, graphics) are intentionally excluded. The EDGAR full-submission .txt bundle — the concatenation of every component document inside one SGML envelope — is referenced by URL inside metadata.json but is not materialized inside the per-record folder; only the individually parsed component documents are extracted.

metadata.json fields

The metadata sidecar is a single JSON object with a flat top-level structure plus a small number of nested arrays. The intentional fields are:

• formType — always the string "F-9 POS".
• accessionNo — the dashed 18-digit EDGAR accession number; its un-dashed form is the per-record folder name.
• description — human-readable filing description, typically "Form F-9 POS - Post-effective amendment to a F-9EF registration".
• filedAt — ISO-8601 timestamp with timezone offset for the moment EDGAR accepted the submission.
• linkToFilingDetails — URL of the primary document on www.sec.gov/Archives/edgar.
• linkToTxt — URL of the EDGAR full-submission .txt bundle.
• linkToHtml — URL of the EDGAR filing index page.
• linkToXbrl — empty for every F-9 POS record; the form was outside the scope of any XBRL tagging requirement.
• id — opaque 32-character hexadecimal internal identifier.
• documentFormatFiles[] — array with one entry per attached document. Each entry carries sequence, size (bytes encoded as a JSON string), documentUrl, description, and type. The full-submission .txt bundle appears as a sibling entry whose description is "Complete submission text file" and whose type and sequence may be a single space character.
• entities[] — array with one entry per filer or related entity. Each entry carries companyName (the registrant name suffixed with the role, e.g. "(Filer)"), cik (zero-padded ten-digit Central Index Key), act (the Securities Act number, typically "33"), fileNo (the SEC file number assigned to the underlying registration statement, e.g. "333-172405"), irsNo, fiscalYearEnd (MMDD), type (the form type for this entity), filmNo (the EDGAR film number), and tickers[]. Canadian MJDS issuers commonly carry multiple tickers spanning the Toronto Stock Exchange, OTC markets, and foreign exchanges.
• seriesAndClassesContractsInformation[] and dataFiles[] — present in the schema for cross-form consistency but typically empty for F-9 POS filings.

SGML-wrapped HTML document structure

The primary document file is not raw HTML. It is the EDGAR-native form of the document, in which the HTML body is wrapped inside an SGML <DOCUMENT> envelope. The wrapper begins with header lines such as:

          1
          <DOCUMENT>
        

          2
          <TYPE>F-9 POS
        

          3
          <SEQUENCE>1
        

          4
          <FILENAME>d318445df9pos.htm
        

          5
          <DESCRIPTION>F-9 POS
        

          6
          <TEXT>
        

followed by the actual <HTML>…</HTML> content (legacy EDGAR-era markup with heavy reliance on <TABLE>, <FONT>, and inline attributes), and closes with </TEXT></DOCUMENT>. Consumers must either tolerate the SGML framing or strip the leading <DOCUMENT>…<TEXT> header and trailing </TEXT></DOCUMENT> footer before feeding the residue to an HTML parser.

Internal structure of the F-9 POS document

Within the HTML body, the F-9 POS follows the standard cover-and-amendment layout used for post-effective amendments to MJDS registration statements. The content layers, in order, are:

1. Cover page. The opening block declares the SEC and Washington, D.C. address, identifies the document as a numbered post-effective amendment (e.g. "Post-Effective Amendment No. 1 to FORM F-9 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933"), names the registrant, and provides the registrant identification triad: province or other jurisdiction of incorporation (e.g. "Nova Scotia, Canada"), Primary Standard Industrial Classification code, and IRS Employer Identification Number ("Not Applicable" is common for Canadian filers). Additional cover-page fields commonly include the registrant's principal executive office address in Canada, the U.S. agent for service of process and that agent's U.S. address, and references to the related underlying file numbers.

2. Operative amendment statement. The body of an F-9 POS is usually a single short paragraph stating the legal effect of the amendment. The dominant pattern in this dataset is the deregistration of unsold securities — for example, "The Registrant is hereby amending this Registration Statement to remove from registration all securities previously registered pursuant to this Registration Statement, all of which remain unsold." Where the POS is used to update a prospectus rather than deregister, this section instead carries the substantive amendment language and may incorporate by reference the updated Canadian prospectus and any revised terms of the securities being offered.

3. Part II content. A short Part II of the registration statement may follow, addressing items such as indemnification of directors and officers, exhibits, and undertakings to the extent the amendment touches them. For pure deregistration POS filings this section is often minimal or omitted because the operative effect is procedural rather than disclosure-changing.

4. Signatures. The document ends with one or more MJDS-style signature blocks. Signatures appear as /s/ <Name> lines followed by printed name and title, executed under the laws of the relevant Canadian jurisdiction. Where required, the U.S. authorized representative also signs. Multiple signatories — directors and officers acting in their MJDS capacities — may sign on the same date, sometimes via power of attorney granted in connection with the original F-9.

5. Exhibit references. Where exhibits are amended, the document carries an exhibit index or list referencing exhibits filed with the post-effective amendment or incorporated by reference from the original F-9 or F-9EF.

Included content

Each record includes the JSON metadata sidecar and every parsed component document of the EDGAR submission except images. For the typical F-9 POS this resolves to the metadata file plus a single SGML-wrapped HTML document carrying the cover page, operative amendment language, any Part II content, signatures, and any exhibit references. The structured metadata captures the accession number, filed-at timestamp, filer identifiers (CIK, IRS number, file number, film number, fiscal year end, tickers), document inventory, and canonical EDGAR URLs for the filing index, the primary document, and the full-submission text bundle.

Excluded or separate content

Image files originally attached to the EDGAR submission are deliberately excluded. The EDGAR full-submission .txt bundle, while referenced via linkToTxt, is not materialized inside the per-record folder; only the individually parsed component documents are extracted. Exhibits filed under their own document slots are present in the folder if they were part of the original submission and were not images, but exhibits incorporated by reference from the original Form F-9 or F-9EF live in those upstream filings and are not pulled into the F-9 POS record. Substantive Canadian disclosure (annual information form, base prospectus, financial statements) is generally referenced rather than reprinted, and likewise lives outside the record.

Format notes

Throughout the coverage window, F-9 POS filings were submitted to EDGAR as SGML-wrapped HTML documents. The HTML inside the envelope is legacy EDGAR markup — table-based layout, inline font tags, and minimal semantic structure — consistent across records. Primary documents are small (typically tens of kilobytes) because the operative content of a POS is short.

Interpretation notes

Several nuances matter when extracting or interpreting these records:

• SGML framing. The primary document is SGML-wrapped, not bare HTML. The leading <DOCUMENT>/<TYPE>/<SEQUENCE>/<FILENAME>/<DESCRIPTION>/<TEXT> header and trailing </TEXT></DOCUMENT> footer must be tolerated by lenient parsers or stripped before structured HTML parsing.
• String-encoded scalars. Numeric-looking values inside documentFormatFiles[] such as size are encoded as JSON strings, and some type and sequence values can be a single space character for auxiliary entries; schema-strict consumers must handle this.
• Incorporation by reference. F-9 POS filings rely heavily on incorporation by reference. The substantive Canadian disclosure (annual information form, base prospectus, financial statements) is typically not reprinted inside the POS but referenced from the underlying F-9 or F-9EF and from the issuer's home-country filings.
• MJDS identification conventions. The registrant identification block uses MJDS conventions — Canadian province in place of a U.S. state, "Not Applicable" in the IRS EIN field — which differs from domestic U.S. registration statements and should not be treated as missing data.
• Multi-ticker registrants. The tickers[] array commonly carries multiple symbols for the same Canadian registrant, reflecting Toronto, OTC, and foreign listings; downstream joins should not assume a single ticker per record.
• Closed, small corpus. Because the dataset is closed and small, idiosyncratic per-issuer formatting variation has an outsized effect on aggregate parsing; record-level inspection is feasible and recommended for any analysis that depends on the prose of the operative amendment statement.
• Amendment numbering and lineage. The cover page identifies the amendment number and references the underlying file number (333-…); reconstructing the lineage of a registration requires joining each F-9 POS to its predecessor F-9 or F-9EF on fileNo, since the POS itself does not republish the original disclosure.

Who Files or Publishes This Dataset, and When

Who files

Each record is a post-effective amendment ("POS") to a registration statement originally filed on Form F-9. The filer is the same Canadian issuer (or Canadian co-registrant guarantor) named on the underlying F-9 registration. Underwriters, dealers, and selling securityholders identified in the prospectus do not file the POS.

Form F-9 was an MJDS form available only to a narrow class of Canadian registrants. The MJDS was adopted jointly by the SEC and the Canadian Securities Administrators in 1991 (Securities Act Release No. 33-6902; see also the proposing release, Release No. 33-6879). To use Form F-9, an issuer had to:

• Be incorporated under the laws of Canada or a Canadian province or territory and qualify as a foreign private issuer under Rule 405 (or be a Canadian Crown corporation). Canadian subsidiary guarantors of an MJDS-eligible parent could be added as co-registrants.
• Have been subject to Canadian continuous-disclosure requirements for the 12 months preceding the filing and have filed all required materials.
• Meet the form's market-value/seasoning test in General Instruction I.A.
• Register only non-convertible investment-grade debt or non-convertible investment-grade preferred securities, with "investment grade" determined by an NRSRO rating in one of the four highest categories. Securities could not be convertible into the issuer's equity for at least one year after effectiveness.

Canadian issuers offering equity or convertible securities used Form F-10; rights, exchange, and business-combination transactions used Forms Form F-7, Form F-8, and Form F-80. Non-Canadian foreign private issuers and U.S. domestic issuers used the F- and S-series forms instead. The F-9 POS dataset therefore captures only Canadian MJDS issuers with a previously effective F-9.

What triggers a Form F-9 POS

A POS is filed only after the underlying F-9 has been declared effective. It is the mechanism for amending an effective MJDS debt or preferred-share registration, governed by Section 8 of the Securities Act (post-effective amendments take effect on the date determined by the Commission), Rule 472 (filing mechanics for amendments), Rule 462 (immediate effectiveness in defined cases), and the post-effective amendment undertakings drawn from Item 512 of Regulation S-K as adapted for MJDS.

Common triggers during the form's active period:

• Material change to the prospectus or terms. A fundamental change, a material change in the plan of distribution, or other material updates triggering the Item 512(a) undertaking.
• Annual updating with current Canadian disclosure. Refreshing the prospectus with newly filed Canadian continuous-disclosure documents (e.g., Annual Information Form, audited financials) to keep MJDS shelf takedowns current.
• Deregistration of unsold securities at completion or termination of the offering, under the Item 512(a)(3) undertaking.
• Curative or supplemental disclosure for matters beyond what a Rule 424(b) prospectus supplement could carry.
• Adding co-registrants or guarantors, which required new signatures and consents.

Filings that could be effected by a Rule 424(b) prospectus supplement (routine pricing supplements, term sheets, sticker supplements) are filed under 424(b), not as a POS, and are not part of this dataset.

Timing

F-9 POS filings are event-driven, not periodic. Timing is set by:

• The triggering event under the registration statement's undertakings.
• Section 8 review. Absent immediate effectiveness under Rule 462, the POS becomes effective when declared so by the staff. MJDS filings generally received expedited treatment because the Commission relies on Canadian regulatory review.
• The Rule 424(b) boundary, which excludes routine supplement-style updates from POS treatment.
• The December 31, 2012 sunset. In Release No. 33-9245 (July 26, 2011), the SEC rescinded Form F-9 effective December 31, 2012, implementing Section 939A of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, which directed federal agencies to remove credit-rating references from their rules. Because F-9 eligibility depended on NRSRO investment-grade ratings, the form was eliminated; eligible Canadian issuers migrated to Form F-10. The dataset's records span May 1, 2003 through December 2012 and close at the rescission date.

Important distinctions

• POS vs. F-9/A. Form "F-9/A" is a pre-effective amendment; "F-9 POS" is filed only after effectiveness. The two are not interchangeable.
• POS vs. 424(b) supplement. Most routine post-effectiveness prospectus activity for F-9 shelf takedowns occurred as Rule 424(b) filings, which is why the POS population is small.
• MJDS adjacent forms. Post-effective amendments to F-7, F-8, F-10, and F-80 registrations are separate filing types and are not in this dataset.
• Loss of MJDS eligibility. An issuer that ceased to qualify as a foreign private issuer or otherwise lost MJDS eligibility typically deregistered remaining F-9 securities (sometimes via a final POS) or transitioned to a domestic form.
• Rescission mechanics. The Section 939A rescission was prospective; previously effective F-9 registrations remained valid, and POS amendments could be filed up to the December 31, 2012 effective date, after which no new F-9 or F-9 POS filings were accepted.
• Pre-EDGAR scope. Form F-9 dates to 1991, but mandatory electronic filing for foreign private issuers was phased in primarily through 2002 (Release No. 33-8099). The earliest electronic F-9 POS in this dataset is dated May 1, 2003.

How This Dataset Differs From Similar Datasets or Filings

Form F-9 POS occupies a narrow corner of SEC practice: post-effective amendments to a rescinded MJDS form used by Canadian issuers for investment-grade, non-convertible debt and preferred securities. The most informative comparisons are the parent F-9, the pre-effective F-9/A, the rest of the MJDS family (F-7, F-8, F-10, F-80) and their POS variants, S-3/F-3 shelves with 424(b) supplements, and Form F-X.

Form F-9 (parent registration)

F-9 is the underlying registration that an F-9 POS amends. It carries the full prospectus, exhibits, and substantive offering disclosure. F-9 POS only modifies an already-effective F-9 to refresh incorporated financials, adjust offered amounts, or satisfy Item 512 / Rule 415 undertakings. F-9 is the primary disclosure layer; F-9 POS is the maintenance layer and cannot be read without it.

Form F-9/A (pre-effective amendment)

F-9/A also amends F-9, but strictly before effectiveness. It captures SEC review correspondence and registrant revisions during the comment process. F-9 POS is filed only after effectiveness, for ongoing shelf maintenance and Section 10(a)(3) refreshes. The two amendment types are mutually exclusive in time and procedurally distinct.

Other MJDS forms and their POS variants (F-7, F-8, F-10, F-80)

Same MJDS regime and Canadian-issuer eligibility, different transaction substance:

• F-7 registers rights offerings to existing US holders; transaction-specific, not a debt program.
• F-8 / F-80 register securities issued in Canadian business combinations and exchange offers; event-driven, single-transaction.
• F-10 is the broad-purpose MJDS form, not credit-rating-conditioned, and survived the 2012 rescission. It is the direct successor population for investment-grade Canadian debt after F-9 was eliminated.

Each has a parallel POS dataset (F-7 POS, F-8 POS, F-10 POS, F-80 POS) playing the same structural role. F-9 POS is unique in being tied to the rescinded investment-grade debt path and closed at December 2012; F-10 POS remains active and is where the same issuer population continues post-2012.

S-3 / F-3 shelves with 424(b) prospectus supplements

Form S-3 (US issuers) and Form F-3 (non-MJDS foreign private issuers) are the modern shelf vehicles. Their post-effective updating runs primarily through 424(b) prospectus supplements per takedown, not POS amendments. F-9 instead generated a sparse POS trail rather than a high-volume 424(b) cadence. To track ongoing offering activity on S-3/F-3, pull 424(b); for F-9, read the POS amendments and associated prospectus filings. Filer population also differs: US issuers and standard-review FPIs versus MJDS-eligible Canadian issuers relying on home-country review.

Form F-X (appointment of agent for service of process)

Form F-X designates a US agent for service of process and accompanies MJDS filings, including F-9 and F-9 POS. It is a short procedural consent, not offering disclosure. Same issuer population, entirely different content and purpose. F-X is a companion filing, never a substitute or component of F-9 POS.

Boundary summary

F-9 POS is a closed historical dataset covering one specific activity: post-effective amendments to MJDS investment-grade Canadian debt and preferred share registrations between May 2003 and December 2012. It is not the underlying registration (F-9), not the pre-effective amendment (F-9/A), not a takedown supplement (424(b)), not an agent appointment (F-X), and not the surviving MJDS vehicle (F-10 / F-10 POS). To reconstruct a Canadian issuer's pre-2013 investment-grade debt history, combine F-9 POS with the parent F-9 and any F-X consents; for the same issuers post-2012, follow F-10 and F-10 POS.

Who Uses This Dataset

Because Form F-9 was rescinded December 31, 2012 under the Dodd-Frank Section 939A mandate to remove credit-rating references from federal rules, the dataset is an archival reference rather than a monitoring feed. Use is concentrated in cross-border legal practice, fixed-income credit work on legacy Canadian debt, securities-law scholarship, EDGAR archival engineering, and corporate trust administration.

Cross-border MJDS securities lawyers

Counsel advising Canadian issuers on US-registered offerings consult the records to see how F-9 base registrations were amended after effectiveness: changes to debt descriptions, indenture references, agents for service of process, auditor consents, and powers of attorney. Used as precedent when structuring current MJDS work on Forms F-10, F-7, F-8, and F-80, and for due diligence on legacy debt programs that remain outstanding or are being refinanced.

Fixed-income DCM and syndicate desks

Origination and syndicate teams covering Canadian investment-grade issuance use the filings to reconstruct the registration history of specific bonds issued off F-9 shelves: original takedown documentation, the universe of registered securities, and the underwriter and trustee relationships disclosed at amendment. Most relevant when handling tenders, exchanges, or refinancings of legacy MJDS debt.

Credit research analysts on Canadian issuers

Analysts covering Canadian sovereign-linked, provincial, crown-corporation, and investment-grade corporate debt mine the POS records for trustee and indenture references, pre-939A ratings disclosure, and reconciliation between US-registered debt and home-jurisdiction filings. Supports recovery analysis, covenant interpretation, and historical comparable-bond work.

Regulatory historians and securities-law academics

Researchers studying Dodd-Frank Section 939A treat F-9 as a clean case of a form rescinded specifically for its investment-grade rating eligibility criterion. The POS records document tail-end activity before the December 31, 2012 sunset and the population of issuers who amended during that window, supporting comparative analysis with the F-10 framework that absorbed the affected issuance.

EDGAR data engineering teams

Engineers building historical EDGAR archives and form-type taxonomies use the records as a completeness item: validating parsers, header-field schemas, CIK linkages across MJDS form families, and form-type filters for rescinded types. The fixed corpus serves as a ground-truth test set for extraction pipelines.

Corporate trust and indenture specialists

Trust officers administering outstanding MJDS-era bonds pull F-9 POS filings for the documentary chain on legacy notes: indenture form incorporated by reference, authorized agents, and consents on file. Supports trustee succession, covenant compliance, defeasance analysis, and supplemental indenture drafting.

LLM and RAG corpus builders

Teams assembling comprehensive EDGAR training and retrieval corpora include F-9 POS for coverage completeness and accurate form-type labeling, so systems can respond to queries about MJDS, Section 939A, and pre-2013 Canadian cross-border debt.

Specific Use Cases

The closed F-9 POS corpus supports a focused set of analytical, legal, and engineering workflows, each tied to specific record content.

• Reconstructing pre-2013 MJDS debt registration lineages. Join each F-9 POS to its parent F-9 or F-9EF on entities[].fileNo (the 333-… registration number) and on CIK to assemble the full amendment chain for a given Canadian issuer's investment-grade debt shelf. The cover-page amendment number and the operative deregistration paragraph identify whether the shelf was refreshed or wound down, supporting refinancing diligence and historical comparable-bond work.

• Quantifying tail-end deregistration activity before the Section 939A sunset. Parse the operative amendment statement in each primary HTML document to classify records as deregistration of unsold securities versus substantive prospectus updates, then bucket the filedAt timestamps against the December 31, 2012 rescission deadline. Produces a clean empirical case study for Dodd-Frank Section 939A scholarship on how issuers exited a credit-rating-conditioned form.

• Building a ground-truth test set for EDGAR parsing pipelines. Because the corpus is fixed and its folders are predictable two-file layouts (one metadata.json plus one SGML-wrapped HTML), it functions as a regression fixture for SGML envelope stripping, documentFormatFiles[] schema handling (string-encoded size, single-space type/sequence for the full-submission entry), and form-type filtering for rescinded types. Pipeline failures on any individual record are immediately diagnosable.

• Mapping the MJDS-eligible Canadian issuer population that used the investment-grade debt path. Aggregate entities[] across the corpus to extract CIKs, registrant names, Canadian provinces of incorporation from the cover page, and the multi-exchange tickers[] arrays. The resulting issuer roster becomes the lookup key for following the same names forward into Form F-10 and F-10 POS post-2012, or backward into the parent F-9 and F-X consents.

• Sourcing trustee, indenture, and agent-for-service references for legacy bond administration. Trust officers and credit analysts pull the cover page and any Part II content to capture the U.S. agent for service of process, indenture form incorporated by reference, and authorized signatories on the MJDS-style signature block. Feeds trustee-succession files, defeasance memos, and supplemental indenture drafting for notes still outstanding from F-9 shelves.

• Precedent search for cross-border securities counsel drafting current F-10 POS work. MJDS lawyers grep the operative-amendment paragraphs and signature pages across the corpus to harvest standard MJDS deregistration and post-effective-update language, including the "Not Applicable" IRS EIN convention and Canadian-jurisdiction execution clauses. Used as a drop-in precedent bank when adapting boilerplate to the surviving F-10 / F-10 POS framework.

• Corpus-completeness coverage for EDGAR-wide LLM and RAG indexes. Including the full F-9 POS corpus with accurate form-type labels ensures that retrieval systems can answer queries about MJDS post-effective amendments, pre-939A investment-grade Canadian debt registration, and the rescinded-form taxonomy without a gap at form type F-9 POS.

Dataset Access

Dataset Index JSON API: https://api.sec-api.io/datasets/form-f9-pos-files.json

This endpoint returns dataset-level metadata (name, description, last updated timestamp, earliest sample date, total records and total size, covered form types, container format, and file types), the download URL for the full archive, and a list of all available containers with per-container metadata such as size, record count, last updated timestamp, and direct download URL. Use it to monitor which containers were touched in the latest refresh run and to decide on a daily basis which container files to fetch.

This endpoint does not require an API key.

Example response:

          1
          {
        

          2
            "datasetId": "1f13365b-9ae0-6a84-80b8-c397787ad192",
        

          3
            "datasetDownloadUrl": "https://api.sec-api.io/datasets/form-f9-pos-files.zip",
        

          4
            "name": "Form F-9 POS Files Dataset",
        

          5
            "description": "Form F-9 POS filings are post-effective amendments to registration statements previously filed on Form F-9 under the Securities Act of 1933.",
        

          6
            "updatedAt": "2026-04-28T01:42:11.000Z",
        

          7
            "earliestSampleDate": "2002-04-30",
        

          8
            "totalRecords": 9,
        

          9
            "totalSize": 62803,
        

          10
            "formTypes": ["F-9 POS"],
        

          11
            "containerFormat": "ZIP",
        

          12
            "fileTypes": ["TXT", "JSON", "HTML"],
        

          13
            "containers": [
        

          14
              {
        

          15
                "downloadUrl": "https://api.sec-api.io/datasets/form-f9-pos-files/2012/2012-03.zip",
        

          16
                "key": "form-f9-pos-files/2012/2012-03.zip",
        

          17
                "size": 8421,
        

          18
                "records": 1,
        

          19
                "updatedAt": "2012-03-15T18:22:04.000Z"
        

          20
              }
        

          21
            ]
        

          22
          }
        

Download Entire Dataset: https://api.sec-api.io/datasets/form-f9-pos-files.zip?token=YOUR_API_KEY

Downloads the complete dataset as a single ZIP archive containing all F-9 POS filings packaged with their TXT, JSON, and HTML file types. This endpoint requires an API key.

Download Single Container: https://api.sec-api.io/datasets/form-f9-pos-files/2012/2012-03.zip?token=YOUR_API_KEY

Fetches one monthly container by the key returned in the index JSON, which is useful for incremental syncing or retrieving filings from a specific year and month without downloading the full archive. This endpoint requires an API key.

Frequently Asked Questions

What form does this dataset cover?

The dataset covers EDGAR submissions on form type F-9 POS — post-effective amendments to registration statements originally filed on Form F-9 under the Securities Act of 1933. Form F-9 was a Multijurisdictional Disclosure System (MJDS) form available to eligible Canadian issuers for the registration of investment-grade, non-convertible debt and preferred securities.

What does one record in this dataset represent?

One record is a single EDGAR accession on form type F-9 POS, packaged as a folder keyed by the un-dashed 18-digit accession number. Each folder typically contains exactly two files: a metadata.json sidecar describing the submission and one SGML-wrapped HTML primary document carrying the cover page, operative amendment statement, any Part II content, signatures, and exhibit references.

Who is required to file Form F-9 POS?

The filer is the same Canadian issuer (or Canadian co-registrant guarantor) named on the underlying F-9 registration. Eligibility required incorporation under Canadian law, foreign-private-issuer status under Rule 405 (or Crown-corporation status), 12 months of Canadian continuous-disclosure compliance, satisfaction of the General Instruction I.A market-value/seasoning test, and registration only of non-convertible investment-grade debt or preferred securities rated in one of the four highest NRSRO categories.

Why is the dataset closed and what time period does it cover?

The SEC rescinded Form F-9 effective December 31, 2012 under Section 939A of the Dodd-Frank Act, which required removal of credit-rating references from federal rules; F-9's investment-grade NRSRO eligibility threshold was such a reference and could not be retained. The dataset spans May 1, 2003 (the earliest electronic F-9 POS) through December 2012, and no further records will be added.

How does this dataset differ from Form F-9/A and Rule 424(b) filings?

Form F-9/A is a pre-effective amendment filed during SEC review; F-9 POS is filed only after the underlying F-9 has been declared effective. Rule 424(b) prospectus supplements handle routine post-effectiveness updates (pricing supplements, term sheets, sticker supplements) per takedown, while F-9 POS is reserved for material changes, annual disclosure refreshes, deregistration of unsold securities, curative disclosure beyond the 424(b) scope, and adding co-registrants or guarantors.

What file format is the dataset distributed in?

The dataset is delivered as monthly ZIP containers organized into year-named directories with paths of the form <year>/<year>-<month>.zip. Inside each per-record folder are HTML (the SGML-wrapped primary F-9 POS document) and JSON (the metadata.json sidecar); the EDGAR full-submission .txt bundle is referenced by URL inside metadata.json rather than materialized in the folder.

How do I follow the same Canadian issuer population after 2012?

After the December 31, 2012 rescission, eligible MJDS Canadian issuers migrated to Form F-10, the broad-purpose MJDS form that was not credit-rating-conditioned and survived the rescission. To continue tracking the same issuer population post-2012, follow Form F-10 for new registrations and Form F-10 POS for post-effective amendments, joining on CIK from the F-9 POS entities[] array.