17 CFR 229.10 - (Item 10) General

Cite as17 CFR 229.10
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207 practice notes
  • Securities and Exchange Commission,
    • United States
    • Federal Register May 24, 2002
    • May 24, 2002
    ...requires a registrant to provide this electronic filing information in any Securities Act registration statement. Since Regulation S-K [17 CFR 229.10- 229.1016] generally does not apply to foreign issuers, and since there is no form that corresponds to the Schedule B registration statement,......
  • Part II
    • United States
    • Federal Register May 13, 2004
    • May 13, 2004
    ...et seq. \3\ 15 U.S.C. 77a et seq. \4\ 17 CFR 228.10; 17 CFR 228.308; 17 CFR 228.401; and 17 CFR 228.406. \5\ 17 CFR 228.10 et seq. \6\ 17 CFR 229.10; 17 CFR 229.202; 17 CFR 229.308; 17 CFR 229.401; 17 CFR 229.406; 17 CFR 229.501; 17 CFR 229.503; 17 CFR 229.512; and 17 CFR 229.601. \7\ 17 CF......
  • Separate Parts In This Issue Part II Securities and Exchange Commission,
    • United States
    • Federal Register February 03, 2003
    • February 3, 2003
    ...of this Form and the following rules on incorporation by reference: Rule 10(d) of Regulation S-K under the Securities Act of 1933 (17 CFR 229.10(d)) (general rules on incorporation by reference, which, among other things, prohibit, unless specifically required by this Form, incorporating by......
  • Part II
    • United States
    • Federal Register August 03, 2005
    • August 3, 2005
    ...and the Investment Company Act of 1940.\16\ \1\ 17 CFR 200.30-1. \2\ 17 CFR 228.512. \3\ 17 CFR 228.10 et seq. \4\ 17 CFR 229.512. \5\ 17 CFR 229.10 et seq. \6\ 17 CFR 230.134; 17 CFR 230.137; 17 CFR 230.138; 17 CFR 230.139; 17 CFR 230.153; 17 CFR 230.158; 17 CFR 230.174; 17 CFR 230.401; 17......
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51 cases
  • Craftmatic Securities Litigation v. Kraftsow, No. 89-1192
    • United States
    • United States Courts of Appeals. United States Court of Appeals (3rd Circuit)
    • January 30, 1990
    ...basis, are presented in an appropriate format, and are accompanied by disclosures that facilitate investor understanding. See 17 C.F.R. Sec. 229.10(b) (1988) (Commission policy on projections). In recent years, the Supreme Court and other courts have adopted a number of approaches for apply......
  • In re Worldcom, Inc. Securities Litigation, No. 02 Civ. 3288(DLC).
    • United States
    • United States District Courts. 2nd Circuit. United States District Courts. 2nd Circuit. Southern District of New York
    • December 15, 2004
    ...its own exposure on loans to an issuer. See Schedule A to Section 7(a) of the Securities Act, 15 U.S.C. §§ 77g(a), 77aa, and Reg. S-K, 17 C.F.R. § 229.10, et seq. The limited disclosures that the regulations do require regarding an underwriter have already been Regulation S-K permits the di......
  • Rowe v. Marietta Corp., No. 92-2963-D.
    • United States
    • United States District Courts. 6th Circuit. Western District of Tennessee
    • January 29, 1997
    ...thereafter operated it as a wholly-owned subsidiary under the name, Marietta American. Pursuant to 15 U.S.C. § 78m(a) and 17 C.F.R. §§ 13 and 1, respectively, Marietta was required to file quarterly (10-Q) and annual (10-K) reports with the SEC. One purpose in requiring public companies to ......
  • In re Enron Corp. Secur., Deriv. & "Erisa" Lit., MDL No. 1446.
    • United States
    • United States District Courts. 5th Circuit. United States District Courts. 5th Circuit. Southern District of Texas
    • March 5, 2009
    ...offerings, and the Financial Institution Defendants primarily, if not exclusively, participated in private placement offerings. 17 C.F.R. § 229.10(a) This Court observes that the cases cited by Lead Plaintiff are very general and do not address the specific regulation at issue. Moreover, it......
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13 firm's commentaries
  • The Jumpstart Our Business Startups Act - JOBS Act H.R. 3606
    • United States
    • JD Supra United States
    • March 27, 2012
    ...SEC. 108. REVIEW OF REGULATION S-K. (a) REVIEW.—The Securities and Exchange Commission shall conduct a review of its Regulation S-K (17 CFR 229.10 et seq.) to— (1) comprehensively analyze the current registration requirements of such regulation; and (2) determine how such requirements can b......
  • Market Trends 2021: COVID-19 from a Securities Law Perspective
    • United States
    • JD Supra United States
    • June 16, 2022
    ...accounting principles (GAAP). The SEC regulates the use of non-GAAP financial measures as follows: Item 10(e) of Regulation S-K (17 C.F.R. § 229.10(e)) applies to non-GAAP financial measures in SEC filings and Regulation G applies to all public statements made by SEC reporting companies tha......
  • SEC Releases New Guidance on Cybersecurity Disclosures and Controls
    • United States
    • JD Supra United States
    • March 1, 2018
    ...Insider Trading, Release No. 33-7881 (Aug. 15, 2000) [65 FR 51715(Aug.24, 2000], available at https;//www.sec.gov.final/33-7881.htm. [7] 17 CFR 229.10 et [8] 17 CFR 210.1-01 et seq. [9] See Part I, Items 1, 1A, and 3 of Form 10-k; Part II, Items 7,8, and 9A of Form 10K; and Part III, ...
  • Keeping Current With Form 8-K: A Practical Guide
    • United States
    • JD Supra United States
    • October 19, 2020
    ...or quarter would trigger an additional Item 2.02 requirement. 2. The requirements of paragraph (e)(1)(i) of Item 10 of Regulation S-K (17 CFR 229.10(e)(1)(i)) shall apply to disclosures under this Item 2.02. 3. Issuers that make earnings announcements or other disclosures of material non-pu......
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8 books & journal articles
  • Sentencing
    • United States
    • Environmental crimes deskbook 2nd edition Part Two
    • June 20, 2014
    ...of Information (July 2004), available at http://www.gao.gov/new.items/d04808.pdf (last visited May 29, 2013). 151. Id. at 4. 152. 17 C.F.R. §§229.10 to 229.915 (1994). Page 120 Environmental Crimes Deskbook 2nd Edition of operations; and Item 503, which is a discussion of the most signiican......
  • Down-Sizing the 'Little Guy' Myth in Legal Definitions
    • United States
    • Iowa Law Review Nbr. 98-3, March 2013
    • March 1, 2013
    ...because small reporting companies cannot include a majority-owned subsidiary of a parent that is not a smaller reporting company. 17 C.F.R. § 229.10(f). 147. 17 C.F.R. §§ 229, 230, 239, 240, 249, 260, 269. 148. Id. § 229.10(f)(1)(i). The new Smaller Reporting Company Regulatory Relief and S......
  • Securities laws and NQDC
    • United States
    • Taxation and Funding of Nonqualified Deferred Compensation
    • January 1, 2012
    ...with a public equity float of less than $75 million or, if no public equity float is calculable, with less than $50 million in revenue. 17 CFR § 229.10(f). Smaller reporting companies are permitted to omit certain disclosures, including, without limitation, the compensation discussion and a......
  • Real Estate Causes Real Problems for Investors: Regulating Executive Liquidation of Stock Options as a Source of Real-Estate Financing
    • United States
    • Iowa Law Review Nbr. 94-5, July 2009
    • July 1, 2009
    ...as amended at 15 U.S.C. § 78 (2002)) (regulating the post-distribution and trading of securities). [61] Item 10 of Regulation S-K, 17 C.F.R. § 229.10 (2008); Items 401-05 of Regulation S-K, 17 C.F.R. § [62] 17 C.F.R. § 229.402; see also Laverriere & Lippett, supra note 59, at 443-57 (di......
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