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Tara Gold Resources Corp v. Securities and Exchange Commission

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ARGUED APRIL 4, 2012–

Before EASTERBROOK, Chief Judge, and FLAUM and MANION, Circuit Judges.

A corporation that wants its shares to be traded on an exchange or through broker- dealers that make national markets must register the securities under §10 of the Securities Act of 1933, 15 U.S.C. §77j. See 15 U.S.C. §78l(a). (Section 78l(a) is §12(a) of the Securities Exchange Act of 1934; the 1933 and 1934 Acts have coordinated provisions.) Section 13(a) of the 1934 Act, 15 U.S.C. §78m(a), requires any issuer to which §12(a) applies to file periodic reports under rules established by the Securities and Exchange Commission. The Commission’s rules require quarterly reports plus comprehensive annual reports; among other things, the issuer’s financial statements must be audited.

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