20-F 696

  • Hi.
    I’m from Germany and currently writing my thesis about a SOX-related topic.
    I have got one basic question. Is there an obligation to disclose the 20-F, which German companies (listed on a US stock exchange) have to file? Or are these companies ‘only’ obliged to submit the 20-F to the SEC?

  • Filings submitted to the SEC are publically available.

  • Since 1996, U.S. domestic reporting companies have been required to file registration statements and reports with the SEC in electronic form. Foreign private and governmental issuers had been exempted from mandatory electronic filing and were permitted to file on paper.
    November 4, 2002: SEC has adopted rule amendments requiring foreign private issuers and foreign governments to make most filings electronically through the SEC’s EDGAR system instead of on paper (certain exemptions granted only in very rare cases).

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