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8000 - Miscellaneous Statutes and Regulations
{{10-31-07 p.9457}}
PART 249--FORMS, SECURITIES EXCHANGE ACT OF 1934
* * * * *
§ 249.220f Form 20-F, registration of securities of foreign
private issuers pursuant to section 12(b) or (g), annual and transition
reports pursuant to sections 13 and 15(d), and shell company reports
required under Rule 13a--19 or 15d--19 (§ 240.13a--19 or
§ 240.15d--19 of this chapter).
(a) Any foreign private issuer, other than an asset-backed issuer
(as defined in § 229.1101 of this chapter), may use this form as a
registration statement under section 12 (15 U.S.C. 78l) of the
Securities Exchange Act of 1934 (the "Exchange Act") (15 U.S.C.
78a et seq.), as an annual or transition report filed under
section 13(a) or 15(d) of the Exchange Act (15 U.S.C. 78m(a) or
78o(d)), or as a shell company report required under Rule 13a-19 or
rule 15d-19 under the Exchange Act (§ 240.13a--19 or 240.15d--19 of
this chapter).
(b) An annual report on this form shall be filed within six months
after the end of the fiscal year covered by such report.
(c) A transition report on this form shall be filed in accordance
with the requirements set forth in Sec. 240.13a-10 or Sec. 240.15d-10
applicable when the issuer changes its fiscal year end.
[Codified to 17 C.F.R. § 249.220f]
[Section 249.220f added at 44 Fed. Reg. 70137, December 6,
1979; amended at 47 Fed. Reg. 54781, December 6, 1982; 48 Fed. Reg.
12350, March 24, 1983; 48 Fed. Reg. 44477, September 29, 1983; 54 Fed.
Reg. 10320, March 13, 1989, effective April 12, 1989; 56 Fed. Reg.
30075, July 1, 1991; 70 Fed. Reg. 1625, January 7, 2005; 70 Fed. Reg.
42248, July 21, 2005]
Editor's Note
For Federal Register citations affecting Form 20-F, see the
list of CFR Sections Affected, which appears in the Finding Aids
section of the printed volume and on GPO Access.
* * * * *
§ 249.325 Form 13F, report of institutional investment manager
pursuant to section 13(f) of the Securities Exchange Act of 1934
This form shall be used by institutional investment managers which
are required to furnish reports pursuant to section 13(f) of the
Securities Exchange Act of 1934. [15
U.S.C. 78m(f)] and rule 13f-1 thereunder [§ 240.13f-1 of
this Chapter].
[Codified to 17 C.F.R. § 249.325]
[Section 249.325 added at 43 Fed. Reg. 26705, June 22,
1978, effective July 31, 1978; amended at 44 Fed. Reg. 3035, January
15, 1979, effective February 5, 1979; 44 Fed. Reg. 39386, July 6, 1979;
44 Fed. Reg. 43264, July 24, 1979, effective June 28, 1979; 50 Fed.
Reg. 21425, May 24, 1985, effective June 24, 1985 ]
Editor's Note
For Federal Register citations affecting Form 13-F, see the
list of CFR Sections Affected, which appears in the Finding Aids
section of the printed volume and on GPO Access.
* * * * *
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