S.D. Admin. R. 20:18:30:01

Current through Register Vol. 51, page 57, November 12, 2024

Section 20:18:30:01 - Reporting requirements

A publicly traded corporation which is licensed as an operator, retailer, or slot machine manufacturer or distributor under SDCL chapter 42-7 B must comply with the following requirements:

(1) If a publicly traded corporation files a Form 10-Q, Form 10-K, Form 8-K, Form 1-A, Registration Statement SB-2, Registration Statement 10-SB, Report 10-KSB, Report 10-QSB, Schedule 13e-3, or Schedule 14D-9 as required by Rule 14f-1 promulgated pursuant to the Securities and Exchange Commission Act of 1934 with the Securities and Exchange Commission or with any national or regional securities exchange, the publicly traded corporation must file a true copy of the document with the executive secretary within 10 business days after the filing;

(2) If a publicly traded corporation receives a material document relating to the publicly traded corporation that was filed with the Securities and Exchange Commission by any other person, it must file a true copy of the document with the executive secretary within 10 days following its receipt;

(3) A publicly traded corporation must file with the executive secretary a list of the record holders and beneficial owners of its voting securities annually or more frequently as the list is prepared;

(4) A publicly traded corporation must report to the executive secretary the election or appointment of any director, any executive officer, or any other officers of the licensee or of a holding company or intermediary company of the licensee who is actively and directly engaged in the administration or supervision of the gaming activities of the licensee;

(5) If a publicly traded corporation is informed that a person determined by the executive secretary to be a controlling person of the publicly traded corporation has disposed of any of the publicly traded corporation's voting securities, the publicly traded corporation must report the information to the executive secretary within 30 days of the action; and

(6) A publicly traded corporation, its intermediary, or its holding company must file with the executive secretary the other documents within its control that the executive secretary requests.

S.D. Admin. R. 20:18:30:01

21 SDR 98, effective 11/30/1994.

General Authority: SDCL 42-7B-7.

Law Implemented: SDCL 42-7B-2.1, 42-7B-4, 42-7B-7, 42-7B-11.