« PreviousContinue »
Reporting Securities wnership by Issuing Company (Cont'a).
10, A public utility company in making certain solicita
tions regarding reorganizations of companies subject to the 1935 Act may disclose ownership information regarding securities or assets.
11. An investment company or unit investment trusts at time
of registering must list the name and address; class of
ecurity owned of any person who is the owner directly
securities of the company.
must list the name and address, class of voting
See 3 above.
At time of filing
Investment Company Act of 1940
13. Unit investment trusts and the unincorporated
management investment companies must list name and
Form N-30A-2, annual report for unit
120 days after
- 26 Reporting Securities Ownership by Issuing Company
Form N-10 Quarterly report for registered management investment companies analogous to the annual report N-IR (17 CFR 249.331)
Within 30 days after the close of each calendar quarter
Investment Co. See 3 above. Act 1940
14. Investment Company must report if any person has
become a parent of the registrant, the name of such
See 1 and 2 above..
15. Company in connection with certain reclassifications,
mergers or consolidations and transfers of assets
Form S-14 registration statement which
Generally, 20 days Securities
14A and 14C
16. Subsidiary mutual service company of a registered
public utility holding company must list all the
Form U-13-1, application for approval
At time of
Public Utility See 7 above.
See 7 above.
Form U-13E-1, report by affiliate
At time of
17. Affiliate service company or a company principally
engaged in performing service to a registered public
See 1 and 2 above.
18. Company at time of registering a public offering must
list the name of each individual who holds options to
At time of
l'orm S-2, registration statement for
1. Investment advisers must furnish the SEC with a
listing of any direct or indirect beneficial owners
Form ADV registration statement of persons who engage in the business of advising others in their security transactions. (17 CFR 279.1).
The SEC can revoke the company's registration under the Investment Company Act of 1940.
Securities If a company fails to make a required filing with
Information, the Commission may authorize an investi-
an offering of securities, prevent a registration from
injunction in & U.S. district court to force the
List of Attachments*
1. "Reporting Requirements and Dissemination of Inf rmation of
Corporate Ownership and Structure" ("GAO Study"), "Disclosure
Exchanges, Revised April 1, 1974.
Securities and Exchange Commission before the subcommittee on Foreign Commerce and Tourism of the Senate Committee on Commerce on s. 2840, 93rd Cong., 1st Session (1973). March 7, 1974.
Securities Act of 1933, Release No. 5526. ll. Securities Act of 1933, Release No. 5538. 12. Securities Act of 1933, Applicable Forms. 13. Securities Exchange Act of 1934, Applicable Forms. 14. Public Utility Holding Company Act of 1935, Applicable Forms. 15. Trust Indenture Act of 1939, Applicable Forms. 16. Investment Company Act of 1940, Applicable Forms. 17. Investment Advisers Act of 1940, Applicable Forms. 18. SEC News Digest. 19. SEC Docket. 20. Official Summary of Securities Transactions and Holdings, SEC. 21. Statistical Bulletin, SEC.
*For general distribution, only the portion of the GAO Study pertaining to Reporting to the SEC is attached. The other documents are available at the SEC.