Exchange Act Section 13 A

The fee rates set forth in exchange act rule 0 11 do not apply.

Exchange act section 13 a. Certification of a foreign private issuer s termination of registration of a class of securities under section 12 g of the securities exchange act of 1934 or its termination of the duty to file reports under section 13 a or section 15 d of the securities exchange act of 1934. Other reports rule 13a 10 transition reports. Rule 13a 13 quarterly reports on form 10 q 249 308a of this chapter.

78m companies with registered publicly held securities and companies of a certain size are called reporting companies meaning that they must make periodic disclosures by filing annual reports called a form 10 k and quarterly reports called a form 10 q. The fee rates as adjusted annually under exchange act section 13 e and section 14 g apply to repurchases of securities and to proxy solicitations and statements in corporate control transactions respectively. In general under section 13 a of the exchange act codified in 15 u s c.

Section 13a reporting and recordkeeping for certain security based swaps. Under section 13 of the exchange act reports made to the u s. Rule 13a 2 reserved rule 13a 3 reporting by form 40 f registrant.

Section 13 periodical and other reports. Securities and exchange commission the sec are filed on schedule 13d schedule 13g form 13f and form 13h each of which is discussed in more detail below. Rule 13a 11 current reports on form 8 k 249 308 of this chapter.

Section 15 registration and regulation of brokers and dealers. Section 14 proxies. A securities firm and in some cases its parent company or other control persons generally will have a section 13 reporting obligation if the firm directly or indirectly.

Section 14b corporate governance.