Regulation 15D: Reports of Registrants under the Securities Act of 1933 (Rules 15d-1 to 15g-100)

ANNUAL REPORTS

Rule 15d-1 — Requirement of annual reports.

Rule 15d-2 — Special financial report.

Rule 15d-3 — Reports for depositary shares registered on Form F-6.

Rule 15d-4 — Reporting by Form 40-F registrants.

Rule 15d-5 — Reporting by successor issuers.

Rule 15d-6 — Suspension of duty to file reports.

 

OTHER REPORTS

Rule 15d-10 — Transition reports.

Rule 15d-11 — Current reports on Form 8-K.

Rule 15d-13 — Quarterly reports on Form 10-Q.

Rule 15d-14 — Certification of disclosure in annual and quarterly reports.

Rule 15d-15 — Controls and procedures.

Rule 15d-16 — Reports of foreign private issuers on Form 6-K.

Rule 15d-17 — Reports of asset-backed issuers on Form 10-D.

Rule 15d-18 — Compliance with servicing criteria for asset-backed securities.

Rule 15d-19 — Reports by shell companies on Form 20-F.

Rule 15d-20 — Plain English presentation of specified information.

 

EXEMPTION OF CERTAIN ISSUERS FROM SECTION 15(D) OF THE ACT

Rule 15d-21 — Reports for employee stock purchase, savings and similar plans.

Rule 15d-22 — Reporting regarding asset-backed securities under section 15(d) of the Act.

Rule 15d-23 — Reporting regarding certain securities underlying asset-backed securities under section 15(d) of the Act.

Rule 15g-1 — Exemptions for certain transactions.

Rule 15g-2 — Penny stock disclosure document relating to the penny stock market

Rule 15g-3 — Broker or dealer disclosure of quotations and other information relating to the penny stock market.

Rule 15g-4 — Disclosure of compensation to brokers or dealers.

Rule 15g-5 — Disclosure of compensation of associated persons in connection with penny stock transactions.

Rule 15g-6 — Account statements for penny stock customers.

Rule 15g-8 — Sales of escrowed securities of blank check companies.

Rule 15g-9 — Sales practice requirements for certain low-priced securities.

Rule 15g-100 — Schedule 15G — Information to be included in the document distributed pursuant to Rule 15g-2.