Events listed in Securities Exchange Act of 1934
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 ...
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. ...
Monthly Portfolio Investments Report (PDF)
ID 26411
The U.S. Securities and Exchange Commission (SEC) has published new Form N-PORT which will be valid through January 31, 2025 unless otherwise modified before. The form must be filed by certain registered investment companies, including mutual funds, exchange-traded funds (ETFs), and closed-end funds to report information about a fund’s portfolio holdings as of the end of each calendar quarter. The purpose of Form N-PORT ...
(Financial and Operational Combined Uniform Single) FOCUS Report: Information ...
ID 26248
The U.S. Securities and Exchange Commission (SEC) has published FOCUS REPORT FORM X-17A-5 SCHEDULE I which will be valid through November 30, 2026 unless otherwise modified before following the approval of the Office of Management and Budget (OMB). Form X-17A-5 SCHEDULE is a regulatory filing requested by the SEC on an annual basis by registered broker-dealers under the Securities Exchange Act of 1934. It ...
SEC Adopts Rules to Improve Risk Management in Clearance and Settlement and ...
ID 26227
The U.S. Securities and Exchange Commission (SEC) has published its final rule aimed at enhancing risk management practices of central counterparties (CCPs) and promoting the clearing of U.S. government securities. The final rules comes after an extensive consultation which was launched in September 2022 (please see EventID 17315 in this context for more detailed, comprehensive information). #### Background To recall, in an effort enhance ...
SEC Adopts Rules to Improve Clearing Agency Governance and Mitigate Conflicts of ...
ID 25838
The U.S. Securities and Exchange Commission (SEC) has published a press release to announce the finalization of new rule 17 CFR Part 240, § 240.17Ad-25 under the Securities Exchange Act of 1934 to enhance governance standards of registered clearing agencies and to mitigate the risks of conflicts of interest among Board members, nominating committees, and other relevant stakeholders. The final rule follows a [corresponding ...