Securities Lawyer's Deskbook                          published by The University of Cincinnati College of Law

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

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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

Rule 15d-10 -- Transition Reports

Rule 15d-11 -- Current Reports on Form 8-K

Rule 15d-13 -- Quarterly Reports on Form 10-Q and Form 10-QSB

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 Servcing 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

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 -- Risk 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

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