Ill. Admin. Code tit. 14 § 130.244

Current through Register Vol. 48, No. 49, December 6, 2024

Section 130.244 - Definition of "Issuer Required to File Reports Pursuant to the Provisions of Section 13 or Section 15(d) of the Federal 1934 Act" with Respect to Certain Foreign Private Issuers and "Reports Required to be Filed at Regular Intervals Pursuant to the Provisions of Section 13 or Section 15(d)", as Used in Section 4(F)(1) of the Act

a) "Issuer required to file reports pursuant to the provisions of Section 13 or Section 15(d) of the Federal 1934 Act", as defined in Section 130.200 of this Part, as used in Section 4(F)(1) of the Act shall be deemed to include any foreign private issuer with respect to which there is furnished to the United States Securities and Exchange Commission the information specified in 17 CFR 12 g3 - 2(b) as in effect on July 1, 1989 (no subsequent dates or editions), and "reports required to be filed at regular intervals pursuant to the provisions of Section 13 or Section 15(d)" shall be deemed to include the information furnished to the United States Securities and Exchange Commission pursuant to 17 CFR 12 g3 - 2(b). For purposes of this Section, the term "foreign private issuer" shall have the meaning ascribed thereto in 17 CFR 240.3b-4(c), as in effect on July 1, 1989 (no subsequent dates or editions).

b) The term "reports required to be filed at regular intervals pursuant to the provisions of Section 13 or Section 15(d)" as used in Section 4(F)(1)(c) of the Act shall not include any current report on Form 8-K required to be filed with the SEC; provided, however, that such term as used in Section 4(F)(1)(d) of the Act shall include any current report on Form 8-K which, to the actual knowledge of the dealer, has been filed under the Federal 1934 Act, as defined in Section 130.200 of this Part.

Ill. Admin. Code tit. 14, § 130.244

Amended at 14 Ill. Reg. 5188, effective March 26, 1990