---
title: "Check whether a mining issuer may omit Part I of Form 10-Q"
url: "https://ailawframework.com/practice/capital-markets-and-securities-ecm-dcm-and-disclosure/count-the-time-to-give-the-quarterly-activity-report-and-appendix-4c/united-states"
type: "task_jurisdiction_version"
site: "AI Law Framework"
id: "A4-MO20261022-15-US"
practice_area: "Capital Markets & Securities — ECM/DCM and Disclosure"
tier: "yellow"
lawyer_review: "required"
jurisdictions: ["US"]
last_reviewed: "2026-10-22"
---

# Check whether a mining issuer may omit Part I of Form 10-Q

> The tool lists whether the registrant is a mining company not in the production stage but engaged primarily in the exploration for the development of mineral deposits other than oil, gas, or coal, whether it was in…

Canonical page: https://ailawframework.com/practice/capital-markets-and-securities-ecm-dcm-and-disclosure/count-the-time-to-give-the-quarterly-activity-report-and-appendix-4c/united-states  
Last reviewed: 2026-10-22

Site index for agents: https://ailawframework.com/llms.txt

## Key facts

| Fact | Value |
| --- | --- |
| Practice area | [Capital Markets & Securities — ECM/DCM and Disclosure](https://ailawframework.com/practice/capital-markets-and-securities-ecm-dcm-and-disclosure.md) |
| Human involvement | Yellow: Lawyer and AI draft together |
| How AI is used | The tool lists whether the registrant is a mining company not in the production stage but engaged primarily in the exploration for the development of mineral deposits other than oil, gas, or coal, whether it was in production during the current fiscal year or the two prior years, with the eight-month aggregate over that three-year period, and whether combined receipts exceeded $500,000 in any of the most recent six years or $1,500,000 in the aggregate over those six fiscal years. It does not decide that Part I may be omitted. If the lawyer says Part I is required, the tool uses the Form 10-Q 40-day or 45-day period only after the lawyer names the filer category. |
| What the lawyer must review | Rule 13a-13(c)(2), 17 CFR § 240.13a-13, and Form 10-Q. Paragraph (c) provides that Part I of the quarterly reports on Form 10-Q need not be filed by mining companies not in the production stage but engaged primarily in the exploration for the development of mineral deposits other than oil, gas or coal, if both conditions are met. The registrant has not been in production during the current fiscal year or the two years immediately prior, except that being in production for an aggregate of not more than eight months over the three-year period is not a violation of that condition. Receipts from the sale of mineral products or from the operations of mineral producing properties by the registrant and its subsidiaries combined have not exceeded $500,000 in any of the most recent six years and have not aggregated more than $1,500,000 in the most recent six fiscal years. Form 10-Q is the report whose Part I is omitted when those conditions are met. Where Part I is required, General Instruction A.1 requires the report within 40 days after quarter end for large accelerated filers and accelerated filers and within 45 days for all other registrants, and no report for the fourth quarter. The lawyer decides whether paragraph (c)(2) applies. The omission is of Part I, on the conditions stated. |
| Written for | United States |
| Applies to | [Count the time to give the quarterly activity report and Appendix 4C](https://ailawframework.com/practice/capital-markets-and-securities-ecm-dcm-and-disclosure/count-the-time-to-give-the-quarterly-activity-report-and-appendix-4c.md) |

## Checking plan

- What the AI does: The tool lists whether the registrant is a mining company not in the production stage but engaged primarily in the exploration for the development of mineral deposits other than oil, gas, or coal, whether it was in production during the current fiscal year or the two prior years, with the eight-month aggregate over that three-year period, and whether combined receipts exceeded $500,000 in any of the most recent six years or $1,500,000 in the aggregate over those six fiscal years. It does not decide that Part I may be omitted. If the lawyer says Part I is required, the tool uses the Form 10-Q 40-day or 45-day period only after the lawyer names the filer category.
- Basis: Checked against the linked sources on 22 October 2026. Confirm the current instrument before reliance.

## Notes

- The opened rule says Part I need not be filed if both conditions are met. It does not say that no Form 10-Q is filed.
- The production test uses the section's words: exploration for the development of mineral deposits other than oil, gas or coal. Oil, gas, and coal are outside that clause.
- The 40-day and 45-day periods apply only if Part I is required, and only after the lawyer names the filer category. Rule 12b-2 was not opened.

## Sources

- [17 CFR § 240.13a-13, Quarterly reports on Form 10-Q](https://www.law.cornell.edu/cfr/text/17/240.13a-13) (checked 2026-10-22)
- [SEC Form 10-Q, General Instruction A and Part I](https://www.sec.gov/files/form10-q.pdf) (checked 2026-10-22)

*Practice guidance for planning and review. Confirm current primary sources and the requirements of the actual matter. This is general information, not legal advice.*