SEC Rule 13a-1 – Global Relay Intelligence & Practice

SEC Rule 13a-1

Requires issuers with securities registered under Section 12 of the Securities Exchange Act to file annual reports on Form 10-K with the SEC.

Rule Overview

Jurisdiction: United States

Regulator: SEC

Topic: Reporting

Overview

Latest News

SEC Rule 13a-1 is a regulation under the Securities Exchange Act of 1934 that requires issuers with securities registered under Section 12 of the Securities Exchange Act to file annual reports on Form 10-K with the SEC.

The filing includes audited financial statements and other key information about the company’s business, financial condition, and risks.

Latest News More on SEA 1934 Rule 13a-1

Enforcement

SEC charges four companies for underreporting Sunburst data breach damage

October 23, 2024

The four settlements come nearly one year after the SEC sued SolarWinds for misleading investors about its cybersecurity controls.

Alexander Barzacanos, Julie DiMauro3 min read
Enforcement

SEC charges auditor BF Borgers with ‘massive fraud’

May 8, 2024

BF Borgers and owner Benjamin Borgers charged by the SEC in case affecting more than 1,500 SEC filings.

Julie DiMauro3 min read