Events listed in [SEC] U.S. Securities and Exchange Commission
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. ...
Registration under 1933 act of securities of unit investment trusts registered on ...
ID 26413
The U.S. Securities and Exchange Commission (SEC) has published new Form S-6 – the „facing sheet“ which will be valid through June 30, 2026 unless otherwise modified before. The form – in general – must be filed by unit investment trusts (UITs) or their underwriters, if they intend to offer and sell securities to the public and seeks information on a trust’s portfolio management ...
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 ...
Adoption of Updated EDGAR Filer Manual
ID 26335
The U.S. Securities and Exchange Commission (SEC) has finalized revisions to the EDGAR (Electronic Data Gathering, Analysis, and Retrieval system) filer manual. The amendments are thereby approved and effective immediately, and are incorporated into Statutory Instrument 17 CFR Part 232 by reference. The revisions follow latest regulatory changes and corresponding modifications to the EDGAR system, which is used by individuals and entities to electronically ...
SEC Issues Staff Report on Accredited Investor Definition
ID 26322
The U.S. Securities and Exchange Commission (SEC) has issued a press release to inform that it recently conducted a review of the „Accredited Investor“ definition as mandated by the Dodd-Frank Act. The review is typically conducted every four years and aims to ensure appropriate investor protection in the private securities marketplace (Regulation D securities market) where securities are exempt from registration and thus exempt ...