Events listed in United States
Current report pursuant to Section 13 or 15(d) (PDF)
ID 26532
The U.S. Securities and Exchange Commission (SEC) has published revised Form 8-K relating to the notification of certain „material“ events to the Commission. Specifically, the revised form must be used for a variety of purposes, including reporting changes in control of the company, resignations of directors or officers, bankruptcy filings, and the entry into material agreements. Form 8-K requires companies to disclose information promptly, ...
Registration statement / Annual report / Transition report (PDF)
ID 26528
The U.S. Securities and Exchange Commission (SEC) has published new Form 20-F which will be valid through December 31, 2026 unless otherwise modified before. The form is to be used by foreign private issuers to register their securities with the SEC under the Securities Exchange Act of 1934. Form 20-F requires extensive disclosures, including information about the issuer’s business operations, financial statements, risk factors, ...
Annual report pursuant to Section 13 or 15(d) (PDF)
ID 26527
The U.S. Securities and Exchange Commission (SEC) has published new Form 10-K which will be valid through December 31, 2026 unless otherwise modified before. Form 10-K is a comprehensive annual report that all publicly traded companies must file with the Commission. It provides a detailed overview of the company’s financial performance, business operations, risk factors, and management’s discussion and analysis of the company’s financial ...
Regulatory Notice 23-21
ID 26520
On December 22, 2023, the Financial Industry Regulatory Authority (FINRA) issued new Regulatory Notice 23-21 in relation to broker-dealers‘ obligations under – SEA Rule 15c3-1 on net capital requirements of brokers or dealers; – SEC Rule 17a-3 on recordkeeping requirements of certain exchange members, brokers, and dealers as regards account and book records, securities transactions, and various other activities; and – SEC Rule 17a-5 ...
General form for registration of securities pursuant to Section 12(b) or (g) (PDF)
ID 26519
The U.S. Securities and Exchange Commission (SEC) has published new Form 10 which will be valid through November 30, 2025 unless otherwise modified before. The form is to be used in connection with the registration of securities with the SEC in accordance with Section 12B and 12G (exemptions) of the Securities Exchange Act of 1934. It shall be noted that the form is NOT ...
General form for quarterly reports under Section 13 or 15(d) (PDF)
ID 26518
The U.S. Securities and Exchange Commission (SEC) has published Form 10-Q which is required to be filed by publicly traded companies with the SEC on a quarterly basis. It provides detailed financial information about a company’s operations and financial condition for the preceding fiscal quarter. The form must be used by domestic and foreign companies that have registered securities with the SEC under the ...
Notification of late filing (PDF)
ID 26514
The U.S. Securities and Exchange Commission (SEC) has published new Form 12b-25 which will be valid through April 30, 2025 unless otherwise modified before. The form is to be used to notify the Commission and each exchange where a security of the issuer is registered of any delays in the filing of the forms listed below. It must only be used by non-electronic filers. ...
U.S. Department of the Treasury Releases Request for Information on Financial ...
ID 26511
Following a corresponding announcement in November 2023 (EventID 23941), the U.S. Department of the Treasury, USDT, has launched a request for information (RFI) as regards financial inclusion. The aim of the „consultation“ is to inform a national strategy on financial inclusion and „to advance financial inclusion through policy, government programs, financial products and services, technology, and other tools and infrastructure“. The RFI is high ...
Issuance of new Russia-related Executive Order and related Determinations; Issuance ...
ID 26495
The Office of Foreign Assets Control, OFAC, has issued a press release to inform of various new sanction measures of the U.S. government in view of the ongoing aggression of Russia towards Ukraine. Specifically, President Joseph Biden has issued a new Executive Order to enhance existing sanction measures and OFAC has issued three new determinations under Executive Order 14024 to impose further related restrictions. ...
FinCEN Issues Final Rule Regarding Access to Beneficial Ownership Information
ID 26486
Following the implementation of rules to require the reporting of beneficial ownership by nearly all firms operating in the U.S. in an effort to enhance transparency on ownership and to reduce money laundering and financing of terrorism activity in the U.S. – and – following a subsequent consultation on regulating the access to such collected beneficial ownership information (BOI), the Financial Crimes Enforcement Network ...