Must the Secretary of the Commission physically receive the sworn statement by the close of business on the sworn statements due date August 14, 2002 for calendar year end companies?
Yes. Although the Form 10-Q is filed on EDGAR, the statement must be delivered in written form on paper. Officers may use whatever means are appropriate, including telecopy (FAX), to ensure that the statement is physically delivered to the Secretary by the Commission’s close of business on the due date. The certification may be hand delivered. A telecopy should be followed by an original. The telecopy numbers for the Secretary’s office for statements filed on August 13th, 14th and 15th are (202) 824-5090 or (202) 824-5091. For statements filed any other day, the telecopy number for the Secretary’s office is (202) 942-9651. E-mail is not acceptable. Who provides the written statement if the company has replaced the principal executive officer or principal financial officer since the company filed its most recent Form 10-K or any subsequent covered report? The officers currently holding the positions of principal executive officer and principal financial officer must provide the written
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