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 Securities Lawyer's Deskbook
                         published by The University of Cincinnati College of Law
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General Rules and Regulations
under the
Securities Exchange Act of 1934

Rule 13a-16 -- Reports of Foreign Private Issuers on Form 6-K

  1. Every foreign private issuer which is subject to Rule 13a-1 shall make reports on Form 6-K, except that this rule shall not apply to:

    1. Investment companies required to file reports pursuant to Rule 30b1-1;

    2. Issuers of American depositary receipts for securities of any foreign issuer;

    3. Issuers filing periodic reports on Forms 10-K, 10-KSB, 10-Q, 10-QSB and 8-K; or

    4. Asset-backed issuers, as defined in Rule 229.1101 of this chapter.

  2. Such reports shall be transmitted promptly after the information required by Form 6-K is made public by the issuer, by the country of its domicile or under the laws of which it was incorporated or organized, or by a foreign securities exchange with which the issuer has filed the information.

  3. Reports furnished pursuant to this rule shall not be deemed to be "filed" for the purpose of section 18 of the Act or otherwise subject to the liabilities of that section.

Regulatory History

32 FR 7849, May 30, 1967, as amended at 44 FR 70137, Dec. 6, 1979; 47 FR 54781, Dec. 6, 1982; 50 FR 27939, July 9, 1985; 57 FR 10615, Mar. 27, 1991; 57 FR 36501, Aug. 13, 1992; 70 FR 1506, 1621, Jan. 7, 2005.

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