Current report on SEC Form 8-K checklist - Center for Corporate ...

Checklist for <strong>Current</strong> Report on SEC Form 8-K (11-04)
the conclusion is made in connection with
the preparation, review, or audit of financial
statements required to be included in the next
periodic <strong>report</strong> due to be filed under the
Exchange Act, the periodic <strong>report</strong> is filed on
a timely basis and such conclusion is
disclosed in the <strong>report</strong>.
Section 3—Securities and Trading Markets
Item 3.01 Notice of Delisting or Failure to
Satisfy a Continued Listing Rule or Standard;
Transfer of Listing
(a)
If the registrant has received notice from the
national securities exchange or national
securities association (or a facility thereof)
that maintains the principal listing for any
class of the registrant's common equity (as
defined in Exchange Act Rule 12b-2) that:
• The registrant or such class of the
registrant's securities does not satisfy a
rule or standard for continued listing
on the exchange or association;
• The exchange has submitted an
application under Exchange Act Rule
12d2-2 to the Commission to delist
such class of the registrant's securities;
or
• The association has taken all necessary
steps under its rules to delist the
security from its automated inter-dealer
quotation system,
The registrant must disclose:
(i) The date that the registrant received the
notice;
(ii) The rule or standard for continued
listing on the national securities
exchange or national securities
association that the registrant fails, or
has failed to, satisfy; and
(iii) Any action or response that, at the time
Complied
With
Where Disclosed or
Reason Omitted
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