FOREIGN ISSUERS

FOREIGN ISSUERS

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.

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