UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
Form 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): November 13, 2003
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Investors Capital Holdings, Ltd.
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(Exact name of registrant as specified in its charter)
Massachusetts 1-16349 04-3284631
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(State or other jurisdiction (Commission (IRS Employer
of incorporation) File Number) Identification No.)
230 Broadway East, Lynnfield, Massachusetts 01940
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(Address of principal executive offices) (Zip Code)
Registrant's telephone number, including area code: (800) 949-1422
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Item 7. Financial Statements, Pro Forma Financial Information and Exhibits
(c) Exhibits.
Exhibit 99.1: Press Release dated November 13, 2003
Item 9. Regulation FD Disclosure
Investors Capital Holdings, Ltd. has reported its earnings results for the
second quarter ended September 30, 2003. The Company's press release dated
November 13, 2003, announcing the results, is attached hereto as an Exhibit. All
the statements and information in this Form 8-K are hereby furnished under Item
12 (Results of Operations and Financial Condition).
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.
Date: November 13, 2003 /s/Timothy B. Murphy
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Timothy B. Murphy
Chief Financial Officer, Chief Accounting
Officer, Treasurer, Executive Vice President,
and Director
EXHIBIT INDEX
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Exhibit
Number Description
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99.1 Investors Capital Holdings Reports $3 Million
Revenue Increase And $481,000 Income Before
Taxes For Second Quarter