8410007 Informal Interpretation

Wayne Kaplan

10/29/ (redacted) letter response 10/30/84. 1. Not significantly except to extent system fails [indecipherable] we have to spend time looking for necessary documents. 2. Yes - See p33524 - if entities w/in person have their own documents which are different -
copies as well. 3. What are X17A-5 Forms. - Equivalent to 10Q [indecipherable] to be filed. 4. If incorporated in AR can
incorporate by reference - any not incorporated must be supplied.



October 25, 1984

Federal Trade Commission
Room 301
Washington, D.C. 20580

Dear Sirs:

I am contacting your office in reference to requirements set forth in the Notification and Report Form for certain mergers and acquisitions governed by the Hart-Scott-Rodino Antitrust Improvements Act and its interpretations.

I would appreciate it if you would clarify the following points concerning documentary attachments submitted in response to items 4(a) and 4(b(.

I.    Item 4(a)

  • Relative to Paragraph 803.2(e), will incorporation by reference hinder or delay, in any way, the processing cycle?
  • Are separate Forms 10-K and Forms 10-Q required to be filed for (redacted).
  • Are Forms X-17A-5 required to be filed for (redacted).

III.   tem 4(b)

  • Pursuant to Paragraph 803.2(e), annual reports may be incorporated by reference. (redacted) annual audit report is part of the annual report. Does this allow the audit report also to be incorporated by reference?

Thank you for your attention to this inquiry.

Very truly yours,


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