Securities Lawyer's Deskbook
                         published by The University of Cincinnati College of Law
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General Rules and Regulations
under the
Securities Exchange Act of 1934

Rule 13a-11 -- Current Reports on Form 8-K

  1. Except as provided in paragraph (b) of this section, every registrant subject to Rule 13a-1 shall file a current report on Form 8-K within the period specified in that form unless substantially the same information as that required by Form 8-K has been previously reported by the registrant.

  2. This section shall not apply to foreign governments, foreign private issuers required to make reports on Form 6-K pursuant to Rule 13a-16, issuers of American Depositary Receipts for securities of any foreign issuer, or investment companies required to file reports pursuant to Rule 30b1-1 under the Investment Company Act of 1940, except where such investment companies are required to file notice of a blackout period pursuant to Rule 104 of Regulation BTR
  3. No failure to file a report on Form 8-K that is required solely pursuant to Item 1.01, 1.02, 2.03, 2.04, 2.05, 2.06, 4.02(a), 5.02(e) or 6.03 of Form 8-K shall be deemed to be a violation of 15 U.S.C. 78j(b) and Rule 240.10b-5.

Regulatory History

42 FR 4428, Jan. 25, 1977, as amended at 50 FR 27939, July 9, 1985; 68 FR 4338, 4355, Jan. 28, 2003, 69 FR 15594, 15618, Mar. 25, 2004, 70 FR 1506, 1621, Jan. 7, 2005; 71 FR 53158, 53260, Sept. 8, 2006

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