SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 8-K
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
Date of Report: March 9, 2004
State Street Corporation |
||
(Exact Name of Registrant as Specified in its Charter) |
Massachusetts |
0-5108 |
04-2456637 |
(State of Incorporation) |
(Commission File Number) |
(IRS Employer Identification Number) |
225 Franklin Street, Boston, Massachusetts |
02110 |
(Address of principal executive offices) |
(Zip code) |
Registrant's telephone number, including area code: (617) 786-3000
Item 5. Other Events.
State Street
Corporation and its subsidiaries (“State Street”) are broadly involved with the
mutual fund industry, and governmental agencies have sought information from State Street
in connection with investigations relating to that industry. In September 2003, the U.S.
Securities and Exchange Commission (“SEC”) disseminated letters throughout the
industry requesting information about market timing and late trading activities. State
Street responded to that request and since then has engaged in exchanges of requests and
information with the SEC. Other regulatory agencies, including the U.S. Department of
Labor (“DOL”), have also distributed broad requests for information relating to
market timing and late trading activities. On Friday, March 5, 2004, State Street
Corporation and some of its subsidiaries received subpoenas from the SEC seeking
additional information. State Street continues to respond to the SEC and to the requests
received from the DOL.
Signatures
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
| STATE STREET CORPORATION | |
| By: /s/Frederick P. Baughman | |
| Name: | Frederick P. Baughman |
| Title: | Senior Vice President, Controller and Chief Accounting Officer |
Date: March 9, 2004
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