Section 13 of the Securities Exchange Act of 1934 requires issuers of securities registered pursuant to sections 12(b) and 12(g) to file periodic reports, keeping current the information contained in the registration application or statement. (17) SEC File Nos. 0-00-2 and 1-00-2: Annual, quarterly, current reports (Forms 10-K, 12-K, 14-K, 18-K, 19-K, 20-K, U5S, N-1R, 10-Q, N-1Q)[17 CFR 240.13a-1, 2, 10, 13] [CONTINUED]. [CONTINUATION] Proxy Solicitations: Where proxies are solicited from holders of securities registered under section 12 or from security holders of registered public-utility companies, subsidiaries of holding companies, or registered investment companies, the Commission's proxy regulation requires that disclosure be made of all material facts concerning the matters on which the security holders were asked to vote, and that they be afforded an opportunity to vote "yes" or "no" on any matter other than the election of the directors. Issuers of securities registered under section 12 must transmit an information statement comparable to proxy material to security holders from whom proxies are not solicited with respect to stockholders' meeting.
