How do issuers disclose FCPA investigations?

There are currently 134 companies with open disclosed FCPA-related investigations. How do these companies disclose their investigations?

The most common way is in SEC filings, most often in 10-Qs and 10-Ks.

However, many disclosures appear in other filings.

Issuers have disclosed FCPA-related investigations in over 50 SEC forms, including:

6-K, 6-K/A, 8-K, 8-K/A, 10-12B/A, 14A, 20-F, 40-F, 423B3, 424B2 424B3, 424B4, 424B5, 425, 434B5, 485BPOS, 497, DEF 14A, DEF14A, DEFM14A, F-1, F-1/A, F-4, F-4/A, Form 424B7, Form 425, N-14, N-14/A, N-CSRS, NT 10-K, NT20-F, POSASR to Form F-3, PRE 14A, PREM14A, PRER14A, S-1, S-1/A, S-3ASR, S-4, S-4/A, SC 13E3, SC 13E3/A, and others.

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All entries on FCPA Tracker are based on disclosures in SEC filings, other company statements, and agency releases, where available. FCPA-related disclosures do not follow a standard format. FCPA Tracker utilizes only primary documents and does not rely on media or press reports. Learn more here

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