The CEA establishes the statutory framework under which the CFTC operates. GlossaryReporting CompanyAlso known as reporting issuer and public company. SEC Reporting Obligations Under Section 13 and Section 16 of the Exchange Act By Arthur L. Zwickel and Alicia M. Harrison. Periodical and Other Reports ***** (b) Form of Report; Books, Records, and Internal Accounting; Directives ***** (2) Every issuer which has a class of securities registered pursuant to section 78l of this title and every issuer The Commodity Exchange Act (CEA) regulates the trading of commodity futures in the United States. Under this Act, … Before a company's securities can begin to trade on a US exchange, the company must register that class of securities … Most of these activities may lead to the imposition of sanctions under the ISA, CISADA or … Under Section 13(r), Annual Reports on Form 10-K, Annual Reports on Form 20-F and Quarterly Reports on Form 10-Q filed pursuant to Exchange Act Section 13(a) must include disclosure of contracts, transactions and “dealings” with Iranian and other entities. Section 13 in The Foreign Exchange Management Act, 1999. Exchange Act Section 13(a) to disclose in that report whether, during the period covered by the report, the issuer or its affiliates have knowingly engaged in certain, principally Iran-related, activities. A company subject to Section 13 or 15(d) of the Exchange Act is a reporting company. Powers of Federal Reserve Banks 1. Under Section 13 of the Exchange Act, an investment manager may have an obligation to file reports with the U.S. Securities and Exchange Commission (the SEC) on Schedule 13D, Schedule 13G, Form 13F, and/or Form 13H, each of which is discussed in more detail below. The problem lies in determining what trans-11 Sisak v. Wings and Wheels Express, Inc., t1970-1971 Transfer Binder] CCH Fed. Receipt of deposits and collections. of Section 13(a) of the exchange Act. Section 16(b) provides that profits realized by corporate "insiders" from purchases and sales of an issuer's equity security made within a six month period shall inure to the issuer." Section 13(r) is effective beginning with reports with a due date after February 6, 2013. Becoming a Reporting Company under the exchange Act, whether by registration under This legal update summarizes (1) the reporting requirements under Section 13 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), which are … Passed in 1936, it has been amended several times since then. A company becomes subject to the Exchange Act under the following circumstances:Securities exchange listing. §78m] § 13. exchange Act Section 15(d) issuers must file certain periodic reports and information required by Section 13 of the exchange Act as if they had registered securities under Section 12. Section 13(b) of the Securities Exchange Act of 1934 [15 U.S.C. Section 13 Exchange Act- Section 13 requires that any person that has acquired, either directly or indirectly, more than 5% of the beneficial ownership of a reporting company’s equity securities to file either a Schedule 13D or 13G within 10 days after the acquisition. 13. Section 16(b) of the Exchange Act." Section 13. Section 13 Exchange Act.