Form 10Q – Quarterly Report

Form 10-Q is used for quarterly reports under Section 13 or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m or 78o(d)), filed pursuant to Rule 13a-13 (17 CFR 240.13a-13) or Rule 15d-13 (17 CFR 240.15d-13). A quarterly report on this form pursuant to Rule 13a-13 or Rule 15d-13 shall be filed within the following period after the end of each of the first three fiscal quarters of each fiscal year, but no report need be filed for the fourth quarter of any fiscal year:

  • a.)  40 days after the end of the fiscal quarter for large accelerated filers and accelerated filers (as defined in 17 CFR § 240.12b-2)
  • b.)  45 days after the end of the fiscal quarter for all other registrants.

If you are a publicly traded company, filing Form 10-Q is a quarterly event.  The General Rules and Regulations under the Securities Exchange Act of 1934 contain certain general requirements which are applicable to reports on any form. These general requirements should be carefully read and observed in the preparation and filing of reports on Form 10-Q

Particular attention is directed to Regulation 12B which contains general requirements regarding matters such as the kind and size of paper to be used, the legibility of the report, the information to be given whenever the title of securities is required to be stated, and the filing of the report. The definitions contained in Rule 12b-2 (17 CFR 240. 12b-2) should be especially noted.

Form 10-Q provided by the S.E.C is not a blank form to be filled in. It is a guide copy to be used in preparing the report in accordance with Rules 12b-11 (17 CFR 240.12b-11) and 12b-12 (17 CFR 240.12b-12). The Commission does not furnish blank copies of this form to be filled in for filing.  See our complete Pricing Guide for Filing Forms with the S.E.C. by clicking here.   If you need assistance gathering information and putting together & filing Form 10-Q with the Securities Exchange Commission, contact us today:

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