Pursuant to Section 13 or 15

US reporting issuer | Practical Law - Thomson Reuters

A company subject to Section 13 or 15(d) of the US Securities Exchange Act of 1934 (Exchange Act), which requires the company to file periodic reports with the ...

Reporting Company - Westlaw

In addition, Section 15(d) companies must file certain periodic reports and information required by Section 13 of the Exchange Act as if they had registered ...

17 CFR § 240.13a-15 - Controls and procedures. - Law.Cornell.Edu

(c) The management of each such issuer, that either had been required to file an annual report pursuant to section 13(a) or 15(d) of the Act (15 U.S.C. 78m(a) ...

Annual report pursuant to Section 13 or 15(d) - SEC.gov

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Securities Exchange Act of 1934 (Forms and Associated Regulations)

... Act; annual report pursuant to Section 13 or 15(d) of the Exchange Act; transition report pursuant to Section 13 or 15(d) of the Exchange Act.

SEC Reporting Obligations Under Section 13 and Section 16 of the ...

While the persons subject to the reporting requirements under Section 13 and Section 16 (each, a “reporting person”) generally include both ...

Public Company SEC Reporting Requirements | Anthony L.G., PLLC

A public company with a class of securities registered under Section 12 or that is subject to Section 15(d) of the Securities Exchange Act of 1934, as amended ( ...

SEC Reporting Obligations under Section 13 of the Exchange Act

Sections 13(d) and 13(g) of the Exchange Act require an investment manager who acquires or has beneficial ownership of more than 5% of a class ...

15 U.S. Code § 78m - Periodical and other reports - Law.Cornell.Edu

It shall be unlawful for an issuer which has a class of equity securities registered pursuant to section 78l of this title, or which is a closed-end investment ...

Forms for Annual and Other Reports of Issuers and Other Persons ...

(a) This form shall be used for annual reports pursuant to sections 13 or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m or 78o(d)) for which no ...

Section 15(d) of the Exchange Act Reporting Obligations

This practice note discusses reporting obligations under Section 15(d) (15 ... 13(a) (15 USCS § 78m) of the Exchange Act, including annual reports on Form ...

Section 15(d) Filer | Practical Law - Westlaw

Section 15(d) requires companies to file certain periodic reports and information required by Section 13 of the Exchange Act (such as Form 10-K and Form 10-Q ...

Public Company SEC Reporting Requirements

A company that has a category of securities registered under Section 12 or is under the purview of Section 15(d) of the Securities Exchange Act ...

Form 8-K Pursuant to Section 13 or 15(d) of the Securities Exchange ...

Form 8-K Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934. View Document Back to Search Results. Media Type: Document; Media Date: January ...

Sec Form 15-12G: What It Is, How It Works - Investopedia

SEC Form 15-12G allows companies to file for suspension of reporting obligations under Sections 13 and 15(d). Section 13 outlines the full reporting ...

Section 12(b) - Words Of Wisdom

Section 13(a) – requires every issuer with a class of securities registered under Section 12 to file reports with the SEC. Section 15(d) ...

Code of Federal Regulations | Subpart D | Casetext - Casetext

Browse Code of Federal Regulations | Subpart D - FORMS FOR ANNUAL AND OTHER REPORTS OF ISSUERS REQUIRED UNDER SECTIONS 13 AND 15(D) OF THE SECURITIES ...

Securities Exchange Act of 1934 - NYSE

Sec. 13A. Reporting and Recordkeeping for Certain Security-Based Swaps. Sec ... 15. Registration and Regulation of Brokers and Dealers. Sec. 15A ...

May 4, 2020 - 10-K/A: Annual report pursuant to Section 13 and 15(d)

... pursuant to Section 13 or Section 15(d) of the Act. Yes ☐ No ☒. Indicate by check mark whether the registrant (1) has filed all reports ...

10-Q/A: Quarterly report pursuant to Section 13 or 15(d)

Indicate by check mark whether the registrant: (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities ...