17 CFR 240.14c-3 - Annual report to be furnished security holders.
(a) If the information statement relates to an annual (or special meeting in lieu of the annual) meeting, or written consent in lieu of such meeting, of security holders at which directors of the registrant, other than an investment company registered under the Investment Company Act of 1940, are to be elected, it shall be accompanied or preceded by an annual report to security holders:
(b) Seven copies of the report sent to security holders pursuant to this rule shall be mailed to the Commission, solely for its information, not later than the date on which such report is first sent or given to security holders or the date on which preliminary copies, or definitive copies, if preliminary filing was not required, of the information statement are filed with the Commission pursuant to Rule 14c-5, whichever date is later. The report is not deemed to be “ filed” with the Commission or subject to this regulation otherwise than as provided in this rule, or to the liabilities of section 18 of the Act, except to the extent that the registrant specifically requests that it be treated as a part of the information statement or incorporates it in the information statement or other filed report by reference.
(c) A registrant will be considered to have delivered a Notice of Internet Availability of Proxy Materials, annual report to security holders or information statement to security holders of record who share an address if the requirements set forth in § 240.14a-3(e)(1) are satisfied with respect to the Notice of Internet Availability of Proxy Materials, annual report to security holders or information statement, as applicable.
- 17 CFR 240.14b-2 — Obligation of Banks, Associations and Other Entities That Exercise Fiduciary Powers in Connection With the Prompt Forwarding of Certain Communications to Beneficial Owners.
- 17 CFR 240.14b-1 — Obligation of Registered Brokers and Dealers in Connection With the Prompt Forwarding of Certain Communications to Beneficial Owners.
- 17 CFR 240.14c-2 — Distribution of Information Statement.
- 17 CFR 229.201 — (Item 201) Market Price of and Dividends on the Registrant's Common Equity and Related Stockholder Matters.
- 17 CFR 232.101 — Mandated Electronic Submissions and Exceptions.
- 17 CFR 240.3b-6 — Liability for Certain Statements by Issuers.