17 C.F.R. § 240.15d-1
Requirement of annual reports
Every registrant under the Securities Act of 1933 shall file an annual report, on the appropriate form authorized or prescribed therefor, for the fiscal year in which the registration statement under the Securities Act of 1933 became effective and for each fiscal year thereafter, unless the registrant is exempt from such filing by section 15(d) of the Act or rules thereunder. Annual reports shall be filed within the period specified in the appropriate report form.
Notes of Decisions
Cited in 2
cases (1 in the last 5 years), 1968–2022 · leading case: Sec. & Exch. Comm'n v. Rayat (S.D.N.Y. 2022).
Sec. & Exch. Comm'n v. Rayat (S.D.N.Y. 2022). “§ 78o(d), and Rules 15d-11 and 12b-20, promulgated thereunder, 17 C.F.R § 240.15d-1, 12b-20. RenovaCare is a public company purportedly engaged in the business of developing medical devices, whose stock traded as a penny stock.”
Charles Heit v. Edward H. Weitzen, Walter v. Tyminski, Stanley R. Grant, Marvin J. Levy, Jack J. Fischer & Belock Instrument Corp., & Jack Silverstein, Betty Volk v. Edward H. Weitzen, Walter v. Tyminski, Stanley R. Grant, Marvin J. Levy, Jack J. Fischer & Belock Instrument Corp., & Jack Silverstein, Helen Howard v. Stanley R. Grant, Walter v. Tyminski, Lybrand, Ross Bros. & Montgomery, a P'ship, Carl M. Loeb, Rhoades & Co., a P'ship, & Belock Instrument Corp., & Lawrence J. Levine, Jack Silverstein, Edward H. Weitzen, John F. Donato, Jack J. Fischer, Charles Welthy & Harry Ahrens, as Executors of the Est. of Helen Neuschafer, Deceased, 402 F.2d 909 (2d Cir. 1968). “13a-1; Rule 15d-1, 17 C. F.R. Section 240.15d-1. The SEC has issued specific instructions outlining the material which must be contained in the "10K" report.”
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