Securities Lawyer's Deskbook
                         published by The University of Cincinnati College of Law
UC Law logo

General Rules and Regulations
promulgated
under the
Securities Exchange Act of 1934





Rule 15d-16 -- Reports of Foreign Private Issuers on Form 6-K


  1. Every foreign private issuer which is subject to Rule 15d-1 shall make reports on Form 6-K, except that this rule shall not apply to:

    1. Investment companies required to file reports pursuant to Rule 30b1-1;

    2. Issuers of American depositary receipts for securities of any foreign issuer; or

    3. Asset-backed issuers, as defined in section 229.1101 of this chapter.

  2. Such reports shall be transmitted promptly after the information required by Form 6-K is made public by the issuer, by the country of its domicile or under the laws of which it was incorporated or organized or by a foreign securities exchange with which the issuer has filed the information.

  3. Reports furnished pursuant to this rule shall not be deemed to be "filed" for the purpose of section 18 of the Act or otherwise subject to the liabilities of that section.


Regulatory History


32 FR 7849, May 30, 1967, as amended at 44 FR 70137, Dec. 6, 1979; 47 FR 54781, Dec. 6, 1982; 50 FR 27939, July 9, 1985; 56 FR 30075, July 1, 1991; 70 FR 1506, 1622, Jan. 7, 2005.



Notice to Users: The Deskbook is made available with the understanding that the University of Cincinnati College of Law is not engaged in rendering legal, accounting or other professional services. If legal advice or other expert assistance is required, the services of a competent professional person should be sought. See Terms and Conditions of Use.  UC Brand Ingot

© Copyright 1998-2009, University of Cincinnati, All Rights Reserved
 Contact: ronald.jones@uc.edu