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DueDillyFirst

10/26/09 5:39 PM

#247166 RE: rocky301 #247155

what triggers the filing requirement?

for example... when you know, or should know that you've exceeded the shareholder base, or the net asset threshhold... how long do you have to comply under sec 12?
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loanranger

10/26/09 5:40 PM

#247167 RE: rocky301 #247155

Thanks, rocky.
But wouldn't 1310.3 apply? And as a result, given the fact that existing securities are being registered, wouldn't the filing date of the 8-A be the effective registration date?

"1310.3 A company already reporting pursuant to Sections 13 or 15(d) may register a class of securities under Section 12 of the Exchange Act by filing a Form 8-A. In addition, the staff generally will not object if a non-reporting company conducting its IPO files a Form 8-A before the effective date of the Securities Act registration statement relating to the IPO. Other U.S. companies must register on Form 10 (foreign companies register on Form 20-F). A Form 8-A filed concurrently with a Securities Act registration statement becomes effective automatically on the latest of the filing of the Form 8-A, the effective date of the registration statement, or, if the securities will be listed on a U.S. Exchange, receipt by the SEC of certification from the Exchange.