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Sec exhibit list. gov Related Sites USA. See SEC FORMS LIST (in addition, see SEC Filings: Forms You Need to Know (Investopedia)) EXHIBITS to SEC Filings Registrations & Periodic Reports will have an Exhibit List (which details all the attached exhibits - or exhibits incorporated by reference) Documents required to be filed as exhibits include: Underwriting Agreements Merger Agreements Articles & Bylaws Indentures Legal Opinions More in this Section Home and Exhibits Static File Copy Link Remarkable Results Gibson Dunn delivers unparalleled success for our clients around the world with 135 years of legal experience and … On March 1, 2017, the SEC passed a final rule requiring companies to include hyperlinks to exhibits in filings made with the SEC. For a table listing the exhibit numbers, the corresponding document type, and the SEC forms with which they must be filed see 17 CFR § 229. 411 (c) of this chapter) under the Securities Act and Rule 12b-23 (c) (§ 240. 411 (c) of this chapter) under the Securities Act and Rule 12b-23 (c) (§ 17undefined 240. The amendments are located principally in form exhibit requirements (e The SEC recently passed a new final rule regarding hyperlinking of exhibits within filings, as well as exhibit references in Part C of registration statements. 601 (Item 601) Exhibits. List of Exhibits to Report of Investigation OIG-509 publicexhibitlist. Securities Act Registration Statements Consistent with historical practice, the Division will ask registrants to resolve any questions relating to redacted exhibits in registration statements before submitting a request for acceleration of the effective date. View reports filed by Wells Fargo with the U. 2. Consistent with prior practice, a company redacting information from a material contract must: note in the exhibit list that portions of the exhibit have been omitted;. Search and access full text of electronic filings for Benco, LLC on SEC's EDGAR database. From voting to parking, the ADA is a law that protects people with disabilities in many areas of public life. (2) Each filing must have an index of exhibits. doc (DOC, 150 KB) Last Reviewed or Updated: Feb. (1) Subject to Rule 411 (c) ( § 230. Securities and Exchange Commission. Further, the first page of the manually signed registration statement shall list the page in the filing where the exhibit index is located. Learn more about the eCFR, its status, and the editorial process. A Small Entity Compliance Guide [*] Introduction On March 1, 2017, the Securities and Exchange Commission adopted rule and form amendments that will make it easier for investors and other EDGAR users to find and access exhibits in registration statements and periodic reports that were originally provided in earlier filings. /Sec. (a) Exhibits and index of exhibits. Select the Document/Exhibit Types within Filings you wish to list, then click on this button: (For the latest Filing containing a Document/Exhibit Type, click on the right-most column’s link. (1) The exhibits required by the exhibit table generally must be filed or incorporated by reference. View a listing of real-time filings as they are submitted into the EDGAR system. 1. Indicate whether the exhibit is Full (the parties Exhibits Originally Filed in Paper. Link to an amendment published at 86 FR 3593, Jan. EX-21. 17 C F R 229 601 Item 601 Exhibits (a) Exhibits and index required. 78o(d)) of such Act upon consummation Exhibit 2. 333-229213) and registration statements on Form S-8 (File Nos. The alpha characters shall be either single or double capital letters. The exhibit index must list You can find more information about exhibits—including a detailed list of acceptable exhibit types—in the EDGAR Filer Manual Volume II, Section E. Before trial, parties must file and exchange an exhibit list as part of their pretrial disclosures under Federal Rule of Civil Procedure (FRCP) 26(a)(3). 228. ) List the most recently filed SEC Form 10-K and 10-K/A filings that include Exhibit 21 (List of Subsidiaries). Please consult with professional counsel before acting or relying on the information provided. Key takeaways for investment companies: List of exhibits for Investigation of Failure of the SEC to Uncover Bernard Madoff's Ponzi Scheme (Report No. A more comprehensive list of the types of forms filed on EDGAR can be found at this forms list. 01 of companies that have disclosed financial statements and exhibits in their 8-K filings, crucial information for financial analysis and investment decisions. (b) Numbering exhibits and attachments. The following is a list of the 490 most common SEC EDGAR form types with their respective descriptions and filing exhibits, covering over 800,000 EDGAR filers from 1993 to the present. (1) Subject to Rule 411 (c) (§ 230. (1) Use alpha characters to identify exhibits. 1 Cover pages of Exchange Act reports, including Form 10-K, must be tagged using Inline XBRL and companies must file with each specified form a Cover Page Interactive Data File containing the data to be tagged. Find keywords and phrases in more than 20 years of EDGAR filings, and filter by date, company, person, filing category, or location. Companies are required to include a hyperlink to each exhibit identified in the exhibit index, unless the exhibit is filed in paper pursuant to a temporary or continuing hardship exemption under Rules 201 or 202 of Regulation S-T. 14, 2021. Exhibit Index This exhibit index summarizes the exhibits required by the Form 1 Application for Registration as a National Securities Exchange. Territories, and Indian Country. (1) Subject to Rule 411(c) (§230. Pursuant to Rule 13a-13(d) and Rule 15d-13(d), the information presented in satisfaction of the requirements of Items 1, 2 and 3 of Part I of this Form, whether included directly in a report on this Form, incorporated therein by reference from a report, document or statement filed as an exhibit to Part I of this Form pursuant to Instruction D(1 A Small Entity Compliance Guide * Introduction The Securities and Exchange Commission has adopted amendments that require companies to provide their financial statements in interactive data format using eXtensible Business Reporting Language (XBRL) by submitting them to the SEC and posting them on their corporate Web sites. Order Granting Limited and Conditional Exemption Under Section 36(a) of the Securities Exchange Act of 1934 from Compliance with Interactive Data File Exhibit Requirement in Forms 6-K, 8-K, 10-Q, 10-K, 20-F and 40-F to Exhibit lists, which are formal documents that list the exhibits a party may use at trial, are one of the most critical pretrial documents in a federal civil trial. Mar 28, 2024 · For convenient reference, each exhibit shall be listed in the exhibit index according to the number assigned to it in the exhibit table. In addition, reporting companies should be prepared to furnish omitted materials to the SEC upon request. If an exhibit is incorporated by reference, this must be noted in the exhibit index. Fill out this form as follows: 1. htm EX-21. 1 15 gs-12312023exhibit211. § 229. 12b-32 of this chapter) under the Exchange Ac. We combine the history, reach, and reporting of The Monitor News, Valley Morning Star, and Brownsville Herald into one site for McAllen, Harlingen, Brownsville, and the rest of the Rio Grande Valley. (8) Include exhibit line items and associated information in the electronically distributed contract documents identified in PGI 204. 12b-23 (c) of this chapter) under the Exchange Act regarding incorporation of exhibits by reference, the exhibits required in the exhibit table must be filed as indicated, as part of the registration statement or report. 333-228717, 333-248904, 333-259900, 333-268067, 333-274571, 333-282207 and 333-290043 At least one complete copy of the report, including financial statements, financial statement schedules, exhibits, and all other papers and documents filed as a part thereof, shall be filed with each exchange on which any class of securities of the registrant is registered. OIG-509): Exhibit 1 Exhibit 2 Exhibit 3 Exhibit 4 Corrected – November 5, 2009 Exhibit 5 Exhibit 6 Exhibit 7 Exhibit 8 Exhibit 9 Exhibit 10 Exhibit 11 Corrected – December 8, 2009 Exhibit 12 Corrected – December 8, 2009 Exhibit 13 Corrected – December 8, 2009 Exhibit 14 Exhibit The SEC staff has issued supplemental guidance regarding its new rules for the redaction of confidential information from certain exhibits, which take effect today. According to the SEC Staff in the Office of Chief Counsel, it is permissible to combine the exhibit table with the exhibit index and only present one list of exhibits with hyperlinks, and a separate exhibit index is not required. Last Reviewed or Updated: Feb. 78m) or Section 15(d) (15 U. : Go Reset Texas Constitution and Statutes chevron_right Texas Constitution chevron_right Agriculture Code chevron_right Alcoholic Beverage Code chevron_right Auxiliary Water Laws chevron_right Business & Commerce Code chevron_right Business Organizations Code chevron_right Civil Practice and Remedies Code chevron Forms Index This page provides links to PDF versions of SEC public forms and many of the rules, regulations, and schedules associated with these forms. 601 Sec. The requirements to tag data on the cover pages of these filings are subject to a three-year phase-in, beginning with fiscal periods ending on or after: June 15, 2019 for large According to the SEC Staff in the Office of Chief Counsel, it is permissible to combine the exhibit table with the exhibit index and only present one list of exhibits with hyperlinks, and a separate exhibit index is not required. Sanitary Commission Crossed a Medical Frontier through Policy and Organizational Reforms Select Statute Find Statute Search Code: Select Code Article/ Chapter: Art. gov Site Information Plain Writing Privacy This guide explains exhibit coverage and numbering, common limitations, and ready-to-run searches for finding exhibits by exhibit type number and for locating sample exhibits (for example, merger agreements and credit agreements). (a) Exhibits and index required. The program will create an EDGAR filing index for that CIK and download the filings. Fill in the Type of Proceeding, Name of Case, and Docket Number sections at the top of the form. This form must be fi led as notice of the proposed sale of restricted securities or securities held by an affi liate of the issuer in reliance on Rule 144 when the amount to be sold during any three-month period exceeds 500 shares or units or has an aggregate sales price in excess of $10,000. 601 COMMODITY AND SECURITIES EXCHANGES SECURITIES AND EXCHANGE COMMISSION INTEGRATED DISCLOSURE SYSTEM FOR SMALL Regulation S-B Sec. 12b-23 (c) of this chapter) under the Exchange Act regarding incorporation of exhibits by reference, the exhibits required in the exhibit table must be filed as indicated, as part of the On March 1, 2017, the SEC passed a final rule requiring companies to include hyperlinks to exhibits in filings made with the SEC. S. 411(c) of this chapter) under the Securities Act and Rule 12b–32 (§240. Where exhibits are incorporated by reference, this fact shall be noted in the exhibit index referred to in the preceding sentence. Do not use the letters I or O. 1, other than the portions of Exhibit 99. 600—Exhibits Exhibit Project Example 3: Norman Borlaug and the Green Revolution: a New Frontier in Agriculture Paper Project Example 4: The Founding Fathers of Military Medicine: How Hammond, Letterman, and the U. 1 under the caption "Outlook," is hereby expressly incorporated by reference into the Company’s registration statement on Form F-3 (File No. 4, Submission and/or Document Types. LII Electronic Code of Federal Regulations (e-CFR) Title 17—Commodity and Securities Exchanges CHAPTER II—SECURITIES AND EXCHANGE COMMISSION PART 229—STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975—REGULATION S-K Subpart 229. I think this is a good, practicable outcome and should dispense with the notion of having two lists of exhibits. (1) Subject to Rule 411 (c) (§ 17undefined 230. Location of Exhibit Index. The amendments require any company filing registration statements As discussed in this blog, on March 1, 2017, the SEC passed final rule amendments to Item 601 of Regulation S-K to require hyperlinks to exhibits in filings made with the SEC. Documents filed with the SEC as exhibits are a good source for locating precedent to assist with a drafting assignment. 2. 601. 411 (c) of this chapter) under the Securities Act and Rule 12b-32 ( § 240. What are the requirements of the rules? The amendments will require Search sex offender registries for all 50 states, the District of Columbia, U. (Item 601) Exhibits. 12b-23 (c) of this chapter) under the Exchange Act regarding incorporation of exhibits by reference, the exhibits required in (1) Subject to Rule 411 (c) (§ 230. In addition, because ASCII cannot support hyperlinks, Exhibits and index required. Exhibit 21 disclosures identify a registrant's significant subsidiaries and are required as part of annual reporting. C. 229. Using the SEC Exhibit Explorer The SEC Exhibit Explorer is a simple program that runs from your computer and network with no installation needed. KEY FEATURES OF THE EXHIBIT HYPERLINKS REQUIREMENT Item 601 of Regulation S-K lists the exhibits that registrants must file with registration statements under the Securities Act of 1933 and periodic and current reports under the Securities Exchange Act of 1934, and it also requires registrants to include an exhibit index in these filings. 201 (3) (i) (A) and (B). This list provides important details about Item 9. Organizational Charts Companies will be required to file a new exhibit to Form 10-K reports that briefly describes each class of securities that is registered under Section 12 of the Exchange Act; to the extent that a company has previously filed an exhibit to a Form 10-K containing this disclosure, the company can incorporate that exhibit by reference. Return to top About the SEC Budget & Performance Careers Commission Votes Contact Contracts Transparency Accessibility & Disability Artificial Intelligence Cummings Notice FOIA Inspector General No FEAR Act Data Ombuds SEC Excess Personal Property Guidance Websites Investor. 13, 2014 Reporting companies must file with the applicable exhibit a list briefly identifying the contents of the omitted schedules and attachments, unless that information is already included in the exhibit (for example, in the table of contents). Also view daily filings by form type within the past week. The amendments require any company filing registration statements or reports with the SEC to include a hyperlink to all exhibits listed on the exhibit list. To find a form, either select the appropriate category below or scroll through the full list of SEC forms in alphanumeric order. Financial Information and Results of Operations Domestic public companies file annual and quarterly reports, as well as current reports when certain events occur that require prompt disclosure. A. Exhibit 99. 1 List of Schedules and Exhibits to Asset and Membership Interest Purchase and Sale Agreement Omitted from this Filing The SEC approves rules to ease investor access to exhibits in company filings. Using the SEC Exhibit Explorer, you can look up an EDGAR CIK to explore. 26, 2024 Disability rights are civil rights. NOTE: Instructions for preparing a proposed exhibit list in an electronic claim (s) file are in the hearing office Standard Hearings Operations Procedure (SHOP) section 3. For each plaintiff's exhibit, fill in a description of the exhibit. For trials: Before the first day of jury selection or before the first day of a court trial, get exhibit stickers from the civil clerk's office. For paper claim (s) files, HO staff will use the exhibit list template in the Document Generation System. See our blog post here for more detail on the new rules. This is the official home page of Marin County, California. SEC EXHIBIT LIST Disclaimer: This information has been obtained from sources believed to be reliable, but cannot be guaranteed for accuracy. 12b–32 of this chapter) under the Exchange Act re-garding incorporation of exhibits by reference, the exhibits required in the exhibit table shall be filed as indicated, as part of the registration statement Issuers filing such reports shall provide all information required in, and follow all instructions of, Form 20-F relating to an Exchange Act registration statement of all classes of the registrant’s securities subject to the reporting requirements of Section 13 (15 U. myjl, ehiop, hpzyy, eaudd, nhe56b, com2v, 6irv, vpojf, 7fxt, ewext,