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Report of Organizational Actions Affecting Basis of Securities

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The document outlines the guidelines for faculty and staff at universities regarding the protection of customers' nonpublic personal information as mandated by the Gramm-Leach-Bliley Act (GLB Act). It emphasizes the importance of implementing effective information security programs, including administrative, technical, and physical safeguards to ensure confidentiality and prevent unauthorized access. The document provides specific instructions on training employees, limiting access to customer information, secure storage and transmission practices, proper disposal of records, system management to detect intrusions, and the necessity of alerting customers in case of data breaches. Noncompliance with these guidelines may result in disciplinary actions.

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Where can I find form 8937?

For the latest information about developments related to Form 8937 and its instructions, such as legislation enacted after they were published, go to .irs.gov/form8937.

What do I do with form 8937?

Reporting is accomplished by filing Form 8937 with the IRS within 45 days of an organizational action (or by January 15th of the following year, if earlier), and also providing the same form (or a similar statement) to the affected shareholders by January 15th of the following year.

What is the penalty for failing to file information returns?

The penalty imposed under section 6721(a) for a failure to file timely or for a failure to include correct information will be $100 in lieu of $250 if the failure is corrected after the 30-day period described in paragraph (b)(1) of this section but on or before August 1 of the year in which the required filing date

What is the penalty for failing to file a partnership return?

Penalty for filing a Form 1065 late Per the IRS, The penalty is $235 for each month or part of a month (for a maximum of 12 months) the failure continues, multiplied by the total number of persons who were partners in the partnership during any part of the partnerships tax year for which the return is due.

What is the penalty for not filing form 5471?

Penalty Computation: You may be subject to a penalty of $10,000 for each failure to file a complete and correct Form 5471 by the due date.

Who needs to file form 8937?

Regulated Investment Companies (mutual funds) are required to report on Internal Revenue Service (IRS) Form 8937 organizational actions that affect the basis of the securities involved in an organizational action.

What is the penalty for filing Form 8937?

The second is the shareholder statement (or copy of Form 8937) that is due by January 15 of the following calendar year to all affected shareholders. Each obligation is subject to a $100 failure-to-file penalty per form, but is generally limited to a $1.5 million cap per year for each corporate issuer.

What does 8937 mean?

File Form 8937 when an organizational action affects the basis of holders of a security or holders of a class of the security. For example, you must file Form 8937 if you make a nontaxable cash distribution to shareholders or if you make a nontaxable stock distribution to shareholders, including a stock split.

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