EDGAR Filings Mandated for Foreign Issuers
Effective November 4, 2002, the SEC requires the following submissions by foreign issuers to be filed via EDGAR:
- Foreign private issuers’ 1933 Securities Act registration statements
- Foreign private issuers’ 1934 Exchange Act registration statements and reports:
- Form 20-F annual reports filed by foreign issuers;
- Form 40-F annual reports filed by Canadian issuers;
- Form 6-K current reports (except for glossy annual reports and 6-K’s for which the content has not been the subject of a press release or not distributed to security holders or not the subject of any new information, which may file electronically or on paper);
- glossy annual reports;
- Foreign governments’ 1933 Securities Act registration statements and 1934 Exchange Act registration statements and reports;
- Multi-jurisdictional Disclosure System ("MJDS") forms and schedules filed by Canadian issuers;
- Statements of beneficial ownership on Schedules 13D and 13G and tender offer schedules that pertain to the securities of a foreign issuer, whether filed by a foreign or domestic person;
- Form CB, the form used for cross-border rights offers, exchange offers and business combinations that are exempt from the tender offer rules or Securities Act registration, if the filer is an Exchange Act reporting company; and
- Most Trust Indenture Act forms.