AFP CTP Exam - Topic 2 Question 19 Discussion

A company has been a publicly traded company since 2001. Only 14% of the available stock is sold to the public and traded on the NYSE. The founding family retains control of 86% of the company. The audit committee consists of a CPA, an investment advisor, and two family members. In 2013, the CFO and CEO decided to change the director's code of conduct due to fraud attempts by one of the vice presidents. The vice president is still employed by the company as the stolen check stock was returned. What form is legally required to be filed by the company due to the code of conduct change?