Index facts already reported on Form 8-K before any new announcement
Key facts
- Human involvement
- YellowClose supervision
- How AI is used
- For each current report in the file, list the item number the report itself uses, the date on the report, and the facts the report states. Do not draft an announcement, and do not add a fact that is not in the report.
- What the lawyer must review
- You draft any new announcement, and you check each indexed fact against the report. Rule 13a-11 (17 CFR § 240.13a-11) requires every registrant subject to Rule 13a-1 to file a current report on Form 8-K (17 CFR § 249.308) within the period specified in that form unless substantially the same information has already been reported. The section does not apply to a foreign private issuer required to report on Form 6-K. A failure to file a report required solely by Item 1.01, 1.02, 1.05, 2.03, 2.04, 2.05, 2.06, 4.02(a), 5.02(e), or 6.03 of Form 8-K is not deemed a violation of 15 U.S.C. § 78j(b) and Rule 10b-5. Other liability can still apply. Read the item on the current form. Regulation FD (17 CFR § 243.100) requires public disclosure, as provided in § 243.101(e), when material nonpublic information is disclosed to a person described in paragraph (b)(1): simultaneously if intentional, and promptly if not. Section 243.101(e) was not opened. Do not state a day count, and do not file an exchange announcement as a Form 8-K.
- Written for / version
- United States versionUS
Who does what
| Role | What they do |
|---|---|
| Assistance | Potential support includes preparing preliminary structure or wording. Confirm the tool’s capability and permitted scope. |
| Lawyer | Set the scope, supervise the work closely, verify every part relied on, resolve omissions and exceptions, and approve the exact output. |
Checklist
- Check the current court or regulator requirements, prescribed form and attachments for the intended document and filing.
- Verify the applicable jurisdiction and the version of each relevant law, rule or instrument in force at the material time.
- Confirm the output against the client’s instructions and the complete relevant source material, including omissions or contradictions.
- Resolve exceptions and record the responsible lawyer’s approval of the exact output and intended use.