The "Other" EDGAR

Allen Matkins
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Allen Matkins

Did you know that some companies with securities registered under Section 12(b) or 12(g) of the Securities Exchange Act of 1934 do not file their periodic reports and proxy materials on EDGAR?  Section 12(i) of the Exchange Act vests the Federal Deposit Insurance Corporation with the powers, functions, and duties of the SEC to administer and enforce Exchange Act Sections 10A(m), 12, 13, 14(a), 14(c), 14(d), 14(f), and 16 with respect to FDIC insured State nonmember banks (including foreign banks having an insured branch) and State savings associations.  The FDIC generally incorporates through cross reference the regulations of the SEC as these regulations are issued, revised, or updated from time to time.  17 CFR § 336.101.

Filings made with the FDIC can be viewed on line here.  The FDIC's filing system is bifurcated between Section 16(a) filings (Forms 3, 4 & 5) and other SEC filings.  The list of financial institutions filing with the FDIC includes only 15 institutions as of July 23, 2018.  More than 25% of these institutions are located in California.

DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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