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8-K Filings on the Decline

Melissa Klein Aguilar | October 15, 2009

—by Jaclyn Jaeger. E-mail Jaclyn at

Despite an apparent bulge in disclosures following the Securities and Exchange Commission’s overhaul of 8-K filings five years ago, the number of filings has since receded. As Compliance Week previously reported, the SEC overhauled its rules for 8-K disclosures in August 2004, expanding the list of “material events” that must be disclosed.

In the two years following the changes, the number of 8-K filings increased from 77,500 in the one-year period before the rules change to 111,600 in the 12-month period that ended July 31, according to data provided at the time from financial printer Bowne & Co.

Since then, however, 8-K filings have seen progressive downward marches. Recent data provided to Compliance Week from Morningstar reveals that the number of 8-K fillings for recent 12-...

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