Securities Exchange Act · USA

Löpande rapporter, Exchange Act §13(a)

Bolag med värdepapper registrerade hos SEC ska lämna årsrapport (10-K), kvartalsrapport (10-Q) och löpande rapport om väsentliga händelser (8-K) enligt SEC:s regler.

Krav

• 15 U.S.C. §78m(a) Duty to file reports with the Commission

  Every issuer of a security registered pursuant to section 78l of this title shall file with the Commission, in accordance with such rules and regulations as the Commission may prescribe as necessary or appropriate for the proper protection of investors and to insure fair dealing in the security—

• 15 U.S.C. §78m(a)(1) Keep registration information reasonably current

  such information and documents (and such copies thereof) as the Commission shall require to keep reasonably current the information and documents required to be included in or filed with an application or registration statement filed pursuant to section 78l of this title, except that the Commission may not require the filing of any material contract wholly executed before July 1, 1962.

• 15 U.S.C. §78m(a)(2) Annual and quarterly reports

  such annual reports (and such copies thereof), certified if required by the rules and regulations of the Commission by independent public accountants, and such quarterly reports (and such copies thereof), as the Commission may prescribe.

• 15 U.S.C. §78m(a) Duplicate filing with the exchange

  Every issuer of a security registered on a national securities exchange shall also file a duplicate original of such information, documents, and reports with the exchange.

• Form 8-K, General Instruction B.1 Current report within four business days (summary)

  A current report on Form 8-K is generally due within four business days after the occurrence of a reportable event.

  Sammanfattning, inte ordagrann text.

Frister

• 10-K: 60, 75 eller 90 dagar efter räkenskapsårets slut, beroende på bolagets storlek.
• 10-Q: 40 eller 45 dagar efter kvartalets slut.
• 8-K: 4 arbetsdagar efter händelsen.

Sanktioner

Exchange Act §21B(b), 15 U.S.C. §78u-2(b): per överträdelse USD 5,000 till USD 100,000 för fysisk person och USD 50,000 till USD 500,000 för bolag. Beloppen räknas upp med inflationen; de uppräknade beloppen är inte införda ännu.

Exchange Act §32(a), 15 U.S.C. §78ff(a): vid uppsåtlig överträdelse böter upp till USD 5,000,000 och fängelse upp till 20 år för fysisk person, böter upp till USD 25,000,000 för bolag.

SEC-ärenden med officiell källa (5)

• First American Financial Corporation, 2021-06-15, USD 487,616.

  Disclosure controls failed to ensure that information about a known vulnerability exposing customer data reached the executives responsible for the Form 8-K and press statement.

• Unisys Corp., 2024-10-22, USD 4,000,000.

  Materially misleading risk disclosures in periodic reports about cybersecurity intrusions, plus disclosure controls violations.

• Avaya Holdings Corp., 2024-10-22, USD 1,000,000.

  Negligently minimized a cybersecurity incident in public disclosures.

• Check Point Software Technologies Ltd, 2024-10-22, USD 995,000.

  Described cybersecurity risks in generic terms although intrusions had already occurred.

• Mimecast Limited, 2024-10-22, USD 990,000.

  Omitted material information about the nature of the code exfiltrated and the number of encrypted credentials accessed.

Agent:

agent:us:sec:agent-sec-13a

JSON:

/api/public/v1/sec-agent/13a

Noder:

SEC-rapportering som noder

Källa:

Securities Exchange Act §13(a), 15 U.S.C. §78m(a), läst 2026-10-10

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